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EFTA00697631
Dataset 9
2017-05-18
2p
788w
Subject:
Financial Services
Improvement Act of 2017 (FSIA)
From:
William Blum
From: William Blum To:' CC: "Hiebert, Peterls >, "jeffrey E. Subject:
Financial Services
Improvement Act of 2017 (FSIA) Date: Thu, 18 May 2017 22:38:05 +0000 Embedded: unnamed Dear Governor Mapp — I recently received an e-mail from Dolace McLean, Esq., of the Lt. Governor's office, which was quite troubling. Nearly identical e-mails were also sent to several other USVI practitioners. A copy of the one we received is attached. The e-mail suggests that the Lt…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00697631.pdf
EFTA00237384
Dataset 9
2016-02-03
1p
228w
Subject:
REQUEST: Review offering materials and discuss with your Financial Advisor
From:
UBS WMA Alternative Investments
… 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 Security available through UBS
Financial Services
Inc. The attachments give you access to materials that provide an overview of the Fund or Private Security and the potential benefits and risks of this investment. Please review all of this information thoroughly with your Financial Advisor prior to making…
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
… Form ADV Part 2A.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 available through UBS
Financial Services
Inc. The attachments give you access to materials that provide an overview of the Fund and the potential benefits and risks of this investment. Please review all of this information thoroughly with your Financial Advisor prior to making your investment decision…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00236785.pdf
EFTA01415783
Dataset 10
2017-07-10
3p
450w
Subject:
CLEARED: RDC Alert Southern Financial LLC [I]
From:
Kshitij Golani
To:
Cynthia Rodriguez
…RDC Alert Southern Financial LLC [I] Classification: For internal use only Dear AML Compliance, EFTA01415784 Attached is an RDC alert for Southern Financial LLC, part of KYC remediation case 01790655. These are false positives as the alerts are referencing Southern
Financial Services
Inc and Southern Financial Group Inc. This entity has no relation to either of these entities. Jeffrey Epstein is the ultimate beneficial owner of Southern Financial LLC residing at 6100 Red Hook Quarter B3 US Virgin Islands 00802…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01415783.pdf
EFTA01299260
Dataset 10
2017-07-10
2p
483w
Subject:
CLEARED: RDC Alert Southern Financial LLC [I]
From:
Kshitij Golani
To:
Cynthia Rodriguez
…Subject: RDC Alert Southern Financial LLC [I] Classification: For Internal use only Dear AML Compliance, Attached is an RDC alert for Southern Financial LLC, part of KYC remediation case 01790655. These are false positives as the alerts are referencing Southern
Financial Services
Inc and Southern Financial Group Inc. This entity has no relation to either of these entities. Jeffrey Epstein is the ultimate beneficial owner of Southern Financial LLC residing at 6100 Red Hook Quarter B3 US Virgin Islands 00802…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01299260.pdf
EFTA01362583
Dataset 10
2017-07-07
1p
156w
Subject:
FW: RDC Alert Southern Financial LLC Ill
From:
Cynthia Rodriguez
To:
Kshitij Golani
…Subject: RDC Alert Sout ern Financial LLC Classification: For internal use only Dear AML Compliance, Attached is an RDC alert for Southern Financial LLC, part of KYC remediation case 01790655. These are false positives as the alerts are referencing Southern
Financial Services
Inc and Southern Financial Group Inc. This entity has no relation to either of these entities. Jeffrey Epstein is the ultimate beneficial owner of Southern Financial LLC residing at 6100 Red Hook Quarter B3 US Virgin Islands 00802…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362583.pdf
EFTA01787011
Dataset 10
2016-12-07
2p
81w
Subject:
FW:
Financial Services
/trust/repatriation legislation
From:
William Blu
To:
Jeffrey E. (
[email protected]
)
From: William Blu Sent: Wednesday, December 7, 2016 8:21 PM To: Jeffrey E. (
[email protected]
) Subject: FW:
Financial Services
/trust/repatriation legislation Hi, Jeff. Can you=give me any update on this? =/o:p> Bill William Blum I Partner SOLOMON BLUM HEY=ANN LLP =nbsp; &nb=p; 40 Wall S=reet, 35th floor New York, NY 10005 Tel Fax Bill William =lum I Partner SOLOMON BLUM HEYMANN LLP =nbsp; &nb=p; </=pan> New York, NY 10005 Tel <=d style='padding:0in…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01787011.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.
…Issue $25 Par: AmTrust
Financial Services
(AFSI) Non-Cumulative Perpetual Preferred Stock; 7.75% - 7.875% Fixed for Life Attachments: Bannerless E-red (3.8.16).pdt Untitled attachment 00191.htm attached was sent from both Morgan Stanley and Wells =argo please advise thank =ou Richard Kahn HBRK Associates Inc. 575 Lexington =venue 4th Floor New York, NY 10022 Begin forwarded message: From: =/b>"Atlas, Andrew 5" Subject: =/b>New Issue $25 =ar: AmTrust
Financial Services
(AFSI) Non-Cumulative…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02703886.pdf
EFTA00024447
Dataset 8
2020-07-10
2p
237w
Subject:
FW: Grand Jury Subpoena Issued to UBS
Financial Services
Inc. dated June 29, 2020
From:
' „cl
To:
(USANYS) [Contractor]"
From: ' „cl To: (USANYS) [Contractor]" Cc: Subject: FW: Grand Jury Subpoena Issued to UBS
Financial Services
Inc. dated June 29, 2020 Date: Fri, 10 Jul 2020 18:08:50 +0000 Attachments: 2020.07.10-_Document_Production_Cover Letter.pdf; Document_Production.zip; disclaim.txt Int ine-I mages: image001.png; image002.png Hi - attached is a new batch of UBS returns, could you please add them to the shared + tracker and send to MI? Thanks! Password is 43581909-2020-1037…
https://www.justice.gov/epstein/files/DataSet%208/EFTA00024447.pdf
EFTA00639884
Dataset 9
2017-05-19
2p
955w
Subject:
RE:
Financial Services
Improvement Act of 2017 (FSIA)
From:
William Blum
To:
"Governor Kenneth E. Mapp"
…com>, "Hiebert, Peter N." Subject: RE:
Financial Services
Improvement Act of 2017 (FSIA) Date: Fri, 19 May 2017 15:29:09 +0000 Embedded: unnamed Dear Governor Mapp — The attached e-mail was received a short while ago from Attorney McLean and I wanted to make sure you were aware of it. I am assuming that the "indefinite stay" with respect to exempt companies will be of short duration. Bill William Blum I Partner SOLOMON BLUM HEYMANN LLP 40 Wall Street…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00639884.pdf
EFTA01045547
Dataset 9
2017-05-19
2p
862w
Subject:
Re:
Financial Services
Improvement Act of 2017 (FSIA)
From:
"Governor Kenneth E. Mapp" <I fr-•
To:
William Blum <I
…which should be more than adequate to ensure that the applicable federal requirements of ownership by non-U.S. persons are met). Most important , these types of changes go directly contrary to what you are trying to achieve by proposing the
Financial Services
Improvement Act of 2017 (FSIA). That Act is designed to make the USVI a more attractive place for corporate formation; but the proposals of Attorney McLean will make it a substantially less attractive place to do so…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01045547.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]
>
…$25 Par: AmTrust
Financial Services
(AFSI) Non-Cumulative Perpetual Preferred Stock; 7.75% - 7.875% Fixed for Life Date: Tue, 08 Mar 2016 15:47:25 +0000 Attachments: Bannerless_E-red_(3.8.16).pdf attached was sent from both Morgan Stanley and Wells Fargo please advise thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 Begin forwarded message: From: "Atlas, Andrew S" Subject: New Issue $25 Par: AmTrust
Financial Services
(AFSI) Non…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01184779.pdf
EFTA01372499
Dataset 10
2017-07-07
1p
173w
Subject:
FW: RDC Alert Southern Financial LLC
From:
Carl Timcke
To:
Kshitij Golani
…Subject: RDC Alert Southern Financial LLC [I) Classification: For internal use only Dear AML Compliance, Attached is an RDC alert for Southern Financial LLC, part of KYC remediation case 01790655. These are false positives as the alerts are referencing Southern
Financial Services
Inc and Southern Financial Group Inc. This entity has no relation to either of these entities. Jeffrey Epstein is the ultimate beneficial owner of Southern Financial LLC residing at 6100 Red Hook Quarter B3 US Virgin Islands 00802…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372499.pdf
EFTA01364021
Dataset 10
2017-07-07
1p
145w
Subject:
RDC Alert Southern Financial LLC [I)
From:
Cynthia Rodriguez
To:
PWMUS AMLKYC
…Attachments: RDC Alert_Southern Financial LLC.PDF Classification: For Internal use only Dear AML Compliance, Attached is an RDC alert for Southern Financial LLC. part of KYC remediation case 01790655. These are false positives as the alerts are referencing Southern
Financial Services
Inc and Southern Financial Group Inc. This entity has no relation to either of these entities. Jeffrey Epstein is the ultimate beneficial owner of Southern Financial LLC residing at 6100 Red Hook Quarter B3 US Virgin Islands 00802…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01364021.pdf
EFTA01417104
Dataset 10
2017-07-10
2p
157w
Subject:
FW: RDC Alert Southern Financial LLC [I]
From:
PWMUS AMLKYC
To:
Kshitij Golani
…Jul 07, 2017 1:00 PM To: PWMUS AMLKYC Subject: RDC Alert Southern Financial LLC [I] Classification: For internal use only Dear AML Compliance, Attached is an RDC alert for Southern Financial LLC, part of KYC remediation case These are false positives as the alerts are referencing Southern
Financial Services
Inc and Southern Financial Group Inc. This entity has no relation to either of these entities. Jeffrey Epstein is the ultimate beneficial owner of Southern Financial LLC residing at 6100…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01417104.pdf
EFTA01782906
Dataset 10
2016-09-13
3p
478w
Subject:
RE: Virgin Islands
Financial Services
Improvement and Corporate Modernization Act
From:
William Blum
To:
jeffrey E.
From: William Blum Sent: Tuesday, September 13, 2016 11:21 PM To: jeffrey E. Subject: RE: Virgin Islands
Financial Services
Improvement and Corporate Modernization Act Not yet. I am waiting on input from Peter and Barry on both of those issues, especially the exit tax. We need to understand, fairly precisely, how Apple/Microsoft, et al. are being taxed in Ireland in order to try to replicate that, if we can, in the VI. They have promised some input from…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01782906.pdf
EFTA02152488
Dataset 10
2013-01-04
1p
46w
Subject:
Alert - keeo an eye out for Darren's
Financial Services
Regulation Handbook
To: From: Sent: Fri 1/4/2013 2:25:00 PM Subject: Alert - keeo an eye out for Darren's
Financial Services
Regulation Handbook Confirm#2337342 (800 260 4754) January 4, 2013 7:30 AM : keeo an eye out for Darren's
Financial Services
Regulation Handbook Confirm#2337342 (800 260 4754) EFTA_R1_00816712 EFTA02152488
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02152488.pdf
EFTA01787145
Dataset 10
2016-12-07
3p
279w
Subject:
RE: FW:
Financial Services
/trust/repatriation legislation
From:
William Blum
To:
jeffrey E.
…NY 10005 Tel Fax Email From: William Blum Sent: Tuesday, November 22, 2016 10:32 AM To: Jeffrey E. (
[email protected]
<mailto:
[email protected]
> ) Subject:
Financial Services
/trust/repatriation legislation Dear Jeff — Do you know what the status of the legislation is with the Governor? Bill William Blum I Partner SOLOMON BLUM HEYMANN LLP 40 Wall Street, 35th floor New York, NY 10005 2 EFTA_R1_00110323 EFTA01787146 Tel Fax Email please note The information contained in this…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01787145.pdf
EFTA01409038
Dataset 10
2017-07-07
1p
132w
Subject:
RDC Alert Southern Financial LLC [I]
From:
Cynthia Rodriguez a>
To:
PWMUS AMLKYC ‹ >
…00:01 -0400 To: PWMUS AMLKYC ‹ > Classification: For internal use only Dear AML Compliance, Attached is an RDC alert for Southern Financial LLC, part of KYC remediation case 01790655. These are false positives as the alerts are referencing Southern
Financial Services
Inc and Southern Financial Group Inc. This entity has no relation to either of these entities. Jeffrey Epstein is the ultimate beneficial owner of Southern Financial LLC residing at 6100 Red Hook Quarter B3 US Virgin Islands 00802…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01409038.pdf
EFTA02449123
Dataset 11
1p
44w
Subject:
Elite European
financial services
firm to open Chicago office
From:
Richard Kahn
To:
jeffrey E.
From: Richard Kahn Sent: Thursday, Septem er , 1 : To: jeffrey E. Subject: Elite European
financial services
firm to open Chicago office http://www.bizjournals.comichicago/news/2016/09/22/rothschild-co-to-open-chicago-branch.html Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York NY 10022 to fa ce 1 EFTA_R1_01547635 EFTA02449123
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02449123.pdf
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