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EFTA00237384
Dataset 9
2016-02-03
1p
228w
Subject:
REQUEST: Review offering materials and discuss with your
Financial Advisor
From:
UBS WMA Alternative Investments
Message From: UBS WMA Alternative Investments Sent: 2/3/2016 10:21:17 PM To: Subject: REQUEST: Review offering materials and discuss with your
Financial Advisor
Attachments: Investor Application.pdf; AlphaKeys EREO II PPM.pdf; Form ADV Part 2A.pdf; Domestic Tax Packet.pdf; Fund Factsheet.pdf; Flipbook.pdf Dear Prospective Investor: At the request of your
Financial Advisor
, you have available for your viewing and future reference Offering Materials for potential investment in an Alternative Investment fund or Private…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00237384.pdf
EFTA00236785
Dataset 9
2015-08-26
1p
236w
Subject:
REQUEST: Review offering materials and discuss with your
Financial Advisor
From:
UBS WMA Alternative Investments
Message From: UBS WMA Alternative Investments Sent: 8/26/2015 3:08:02 PM To: Subject: REQUEST: Review offering materials and discuss with your
Financial Advisor
Attachments: FIA Client Quickcard.pdf; Disclosure Statement.pdf; Disclosure Cover Letter.pdf; FIA Client Kit Letter.pdf; Investor Application.pdf; Domestic Tax Packet.pdf; Fund Fact Sheet.pdf; Flipbook and Fact Sheet.pdf; Millennium PPM.pdf; Form ADV Part 2A.pdf Dear Prospective Investor: At the request of your
Financial Advisor
, you have available…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00236785.pdf
EFTA02703886
Dataset 11
2016-03-08
4p
458w
Subject:
Fwd: New Issue $25 Par: AmTrust Financial Services (AFSI) Non-Cumulative Perpetual
From:
Richard Kahn
To:
jeffrey E.
…Yes" &nb=p; 2 EFTA_R1_02085846 EFTA02703887 Expected =isting: =NYSE Timing: &n=sp; &nbs=; Today's =usiness Speak soon, Andrew Andrew S. Atlas First Vice President Equity Sales/Middle Markets Group
Financial Advisor
Morgan Stanley Wealth Management 1290 Avenue of the =mericas, 12th Floor New York, =Y 10104 Tel/Direct: NMLS ID # =326736 Important Notice to Recipients: Please do not use e-mail to request, authorize or effect the purchase or sale of any =ecurity or commodity. Unfortunately, we cannot execute…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02703886.pdf
EFTA01035639
Dataset 9
2019-03-18
2p
492w
Subject:
Fwd: New Issue $25 Par: Brighthouse Financial, Inc. (BHF) Fixed for Life Perpetual
From:
Richard Kahn
To:
Jeffrey Epstein <
[email protected]
>
…Yes Subject to U.S. Tax Withholding for NRA Clients: Generally, Yes (See Prospectus for Tax and Withholding Details) Listing: NASDAQ Timing: Today's Business Andrew S. Atlas Senior Vice President Equity Sales/Middle Markets Group
Financial Advisor
Morgan Stanley Wealth Management 1290 Avenue of the Americas, 12th Floor I New York, NY 10104 Tel/DireCt: I Fax: NMLS ID If If you would like to unsubscribe from marketing e-mails from Morgan Stanley Wealth Management. you may do so…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01035639.pdf
EFTA01184779
Dataset 9
2016-03-08
2p
419w
Subject:
Fwd: New Issue $25 Par: AmTrust Financial Services (AFSI) Non-Cumulative Perpetual
From:
Richard Kahn
To:
"Jeffrey E." <
[email protected]
>
…capital expenditures and/or strategic acquisitions DRD/QDI Eligible: Yes, See Red for tax and withholding details Subject to US Tax Withholding for NRA Clients: Yes* Expected Listing: NYSE Timing: Today's Business Speak soon, Andrew Andrew S. Atlas First Vice President Equity Sales/Middle Markets Group
Financial Advisor
Morgan Stanley Wealth Management 1290 Avenue of the Americas, 12th Floor I New York, NY 10104 NMLS ID if 1326736 Important Notice to Recipients: Please do not use e-mail to…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01184779.pdf
EFTA01784340
Dataset 10
2016-08-16
5p
785w
Subject:
Fwd: New Issue E*TRADE Financial Preferred
From:
Richard Kahn
To:
jeffrey E.
…5" Subject: qb>RE: New Issue =•TRADE Financial Preferred Date: =/b>August 16, 2016 at 12:41:16 PM =DT To: =/b>"'Richard Kahn" Revised guidance 5.875 - 6% Still good for 5mm? Andrew S. Atlas First Vice President Equity Sales/Middle Markets Group
Financial Advisor
Morgan Stanley Wealth Management 1290 Avenue of the Americas, 12th Floor New York, NY 10104 Tel/Direct: EFTA_R1_00105589 EFTA01784340 NMLS ID: Original Messa e From: Richard Kah Sent: Tuesday, August 16…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01784340.pdf
EFTA02454166
Dataset 11
2016-08-16
10p
1,337w
Subject:
Fwd: New Issue E*TRADE Financial Preferred
From:
Richard Kahn
To:
jeffrey E.
…of =nterest in the offering. If you would like, I'll get an =ffering in the secondary market to see where Southern Trust can =urchase the balance. EFTA_R1_01555759 EFTA02454166 Touch base tomorrow. Thanks again, Andrew Andrew S. Atlas First Vice President Equity Sales/Middle Markets Group
Financial Advisor
Morgan Stanley Wealth Management 1290 Avenue of the =mericas, 12th Floor I New York, =Y 10104 Tel/Direct: Fax: NMLS ID # =326736 From: Richard Kahn (mailto: Sent: Tuesday, August 16…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02454166.pdf
EFTA02452971
Dataset 11
2016-08-16
6p
879w
Subject:
Re: New Issue E•TRADE Financial Preferred
From:
jeffrey E. <
[email protected]
>
To:
Richard Kahn
…Issue E•TRADE Financial Preferred Date: August 16, 2016 at 12:41:=6 PM EDT To: <=span>"'llichard Kahn'" =/span> Revised guidance 5.875 - 6% Still good for 5mm? EFTA_R1_01553624 EFTA02452971 Andrew S. Atlas First Vice President Equity Sales/Middle Markets Group
Financial Advisor
Morgan Stanley Wealth Management NMLS ID: Original Message From: Richard Kahn I <mailto >1 Sent: Tuesday, August 16, 2016 10:27 AM Eastern Standard Time To: Atlas, Andrew S (Wealth Mgmt MS) Subject…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02452971.pdf
EFTA00671309
Dataset 9
2016-07-11
2p
497w
Subject:
Fwd: New Issue $25 Par: Stifel Financial Corp (SF) Perpetual Preferred Stock; 6.50 -
From:
Richard Kahn <I
To:
Jeffrey Epstein <
…See Red for tax and withholding details Subject to U.S. Tax Withholding for NRA Clients: Yes* Listing: NYSE Expected under the symbol "SF PrA" Timing: Today's Business Let me know if you have any questions. Best, Andrew Andrew S. Atlas First Vice President Equity Sales/Middle Markets Group
Financial Advisor
Morgan Stanley Wealth Management 1290 Avenue of the Americas, 12th Floor j New York, NY 10104 NMLS 10 # 1326736 Important Notice to Recipients: Please do not use e…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00671309.pdf
EFTA00714076
Dataset 9
2016-08-16
2p
527w
Subject:
Fwd: New Issue E*TRADE Financial Preferred
From:
Richard Kahn
To:
"Jeffrey E." <jeevacation(gmail.com>
…If the acquisition of Aperture is not consummated, net proceeds will be for general corporate purposes. Let me know if you have any questions. Best, Andrew Andrew S. Atlas First Vice President Equity Sales/Middle Markets Group
Financial Advisor
Morgan Stanley Wealth Management 1290 Avenue of the Americas, 12th Floor I New York, NY 10104 Tel/Direet: Fax: I NMIS IDN 1326736 NOTICE: Morgan Stanley is not acting as a municipal advisor and the opinions or views contained herein are…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00714076.pdf
EFTA00848541
Dataset 9
2015-08-17
2p
523w
Subject:
Fwd: New Issue $25 Par: Capital One Financial Corporation (COF) Perpetual Preferred
From:
Richard Kahn
To:
"jeffrey E." <
[email protected]
>
…additions to working capital, capital expenditures and investments in our subsidiaries DRD/QDI Eligible: Yes Subject to U.S. Tax Withholding for NRA Clients Yes* Expected Listing: NYSE Andrew S. Atlas
Financial Advisor
Equity Sales/Middle Markets Group Morgan Stanley Wealth Management Midtown Manhattan Complex 1290 Avenue of the Americas, 12th Floor I New York, NY 10104 Tel/Direct: I Fax: Important Notice to Recipients: Please do not use e-mail to request, authorize or effect the purchase or sale…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00848541.pdf
EFTA00823474
Dataset 9
2016-07-26
2p
550w
Subject:
Fwd: New Issue $25 Par: Capital One Financial Corporation (COF) Perpetual Preferred
From:
Richard Kahn
To:
"jeffrey E." <
[email protected]
>
…capital expenditures and investments in our subsidiaries. DRD/QDI Eligible: Yes Subject to U.S. Tax Withholding for NRA Clients Yes* Expected Listing: NYSE Andrew S. Atlas First Vice President Equity Sales/Middle Markets Group
Financial Advisor
Morgan Stanley Wealth Management 1290 Avenue of the Americas, 12th Floor I New York, NY 10104 Tel/Direct: Fax: NNILS ID ft 1326736 NOTICE: Morgan Stanley is not acting as a municipal advisor and the opinions or views contained herein are not intended…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00823474.pdf
EFTA01061254
Dataset 9
2016-11-21
2p
527w
Subject:
Fwd: New Issue $25 Par: Capital One Financial Corporation (COF) Perpetual Preferred
From:
Richard Kahn
To:
"jeffrey E." <
[email protected]
>
…and investments in our subsidiaries. DRD/QDI Eligible: Yes Subject to U.S. Tax Withholding for NRA Clients Yes* Expected Listing: NYSE Let me know if you have any questions. Best Regards, Andrew Andrew S. Atlas First Vice President Equity Sales/Middle Markets Group
Financial Advisor
Morgan Stanley Wealth Management 1290 Avenue of the Americas, 12th Floor I New York, NY 10104 NMLS ID ff 1326736 NOTICE: Morgan Stanley is not acting as a municipal advisor and the opinions or…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01061254.pdf
EFTA02470260
Dataset 11
2016-03-08
5p
610w
Subject:
Re: New Issue $25 Par. AmTrust Financial Services (AFSI) Non-Cumulative Perpetual
From:
Richard Kahn
To:
jeffrey E.
…=NYSE Timing: &n=sp; &nbs=; Today's =usiness Speak soon, Andrew Andrew S. Atlas First Vice President Equity Sales/Middle Markets Group
Financial Advisor
Morgan Stanley Wealth Management 3 EFTA_R1_01581159 EFTA02470262 1290 Avenue of the =mericas, 12th Floor New York, =Y 10104 = Fax: +1 212 705 4592 <tel:%2B1%20212%20705%204592> NMLS ID # =326736 Important Notice =o Recipients: Please do not use e-mail to request, authorize or effect the purchase or sale of any =ecurity or…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02470260.pdf
EFTA02470235
Dataset 11
2016-03-08
4p
580w
Subject:
Re: New Issue $25 Par. AmTrust Financial Services (AFSI) Non-Cumulative Perpetual
From:
jeffrey E. <
[email protected]
>
To:
Richard Kahn
…Yes, See Red for tax and withholding details Sub=ect to US Tax Withholding for NRA Clients: =C2* 4)=.40 =Yes* =C2* 40=A0 Expected Listing: =C24> NYSE Timing: 4>=A0 =C240 Today'= Business Speak soon, Andrew<=u> Andrew S. Atlas First Vice President Equi=y Sales/Middle Markets Group
Financial Advisor
Morgan Stanley=Wealth Management 1290 Avenue of the Americas, 12th Floor I New York, NY 10104 Fax: +1 212 705 4592 <tel:%2B1%20212%20705%2045=2> =span style="font-size:9.0ptcolor…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02470235.pdf
EFTA01417223
Dataset 10
2019-07-08
7p
477w
Subject:
FA News: Tax Reform Toughens Home-Office Deduction For Wealthy
From:
Financial Advisor Magazine
Subject: FA News: Tax Reform Toughens Home-Office Deduction For Wealthy Clients From:
Financial Advisor
Magazine Date: Mon, 08 Jul 2019 13:57:15 -0400 To: A
Financial Advisor
Magazine E-Newsletter View this email in your browser {FA News} July 8, 2019 Tax Reform Toughens Home-Office Deduction For Wealthy Clients Employees who work out of their homes could be pinched by the new regulations. How To Create A More Diverse Financial Planning Profession Diversification is needed to ensure…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01417223.pdf
EFTA01425535
Dataset 10
2019-07-10
5p
310w
Subject:
FA News: CFP Board Considers Postponing Enforcement Of Fiduciary
From:
Financial Advisor Magazine
Subject: FA News: CFP Board Considers Postponing Enforcement Of Fiduciary Code From:
Financial Advisor
Magazine Date: Wed, 10 Jul 2019 09:39:38 -0400 To: View in browser July 10, 2019 CFP Board Considers Postponing Enforcement Of Fiduciary Code The new standards could impact thousands of CFPs at broker-dealers and hybrid firms. The 10 Best States For Your Summer Road Trips More than $761 billion is spent on leisure travel every year. EFTA01425535 Why Clients Should Discuss Their DAF…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01425535.pdf
EFTA01379104
Dataset 10
2019-07-10
1p
124w
Subject:
FA News: CFP Board Considers Postponing Enforcement Of Fiduciary Code
From:
Financial Advisor Magazine [
[email protected]
)
From:
Financial Advisor
Magazine [
[email protected]
) Sent: 7/10/2019 9:39:38 AM To: Subject: FA News: CFP Board Considers Postponing Enforcement Of Fiduciary Code View in browser July 10, 2019 CFP Board Considers Postponing Enforcement Of Fiduciary Code The new standards could impact thousands of CFPs at broker-dealers and hybrid firms. The 10 Best States For Your Summer Road Trips More than $761 billion is spent on leisure travel every year. Why Clients Should Discuss…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01379104.pdf
EFTA00238758
Dataset 9
2017-11-22
1p
129w
Subject:
UPDATE: Your UBS Strategic Advisor Annual Review Report
From:
UBS Financial Services Inc.
…disregard the previous communication. The attached report provides information about your account. What this means to you Questions The attached report includes specific details about your UBS Strategic Please contact your
Financial Advisor
account. Please review the report at your convenience. Advisor with questions. We thank you for your relationship and look forward to continuing to serve your wealth management needs. Please do not reply to this message. Questions should be directed to your
Financial Advisor
. onsesesn CONFIDENTIAL UBSTERFtAMAR00003394 EFTA00238758
https://www.justice.gov/epstein/files/DataSet%209/EFTA00238758.pdf
EFTA00238755
Dataset 9
2017-11-21
1p
122w
Subject:
Your UBS Strategic Advisor Annual Review Report
From:
U8S Financial Services Inc.
…Why this is important The attached report provides information about your account. What this means to you Questions The attached report includes specific details about your UBS Strategic Please contact your
Financial Advisor
account. Please review the report at your convenience. Advisor with questions. We thank you for your relationship and look forward to continuing to serve your wealth management needs. Please do not reply to this message. Questions should be directed to your
Financial Advisor
. onsssosti CONFIDENTIAL UBSTERFtAMAR00003388 EFTA00238755
https://www.justice.gov/epstein/files/DataSet%209/EFTA00238755.pdf
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