EFTA01283100Dataset 10
4p2,819w
…Calls fully covered by underlying stock. Stock may be called at any time or strike price. ✓ 2. Purchasing Options If position is not closed Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. or exercised by expiration date. options will expire worthless. ./ 3. Option Spreads-Margin account required. leaving only a short position, Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, stock…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01283100.pdf
EFTA01376750Dataset 10
1p452w
…by underlying stock. Stock may be called at any time or at expiration, requiring owner to sell at strike price. 2. Purchasing Options Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. It position is not closed or exercised by expiration date, options will expire worthless. 3. Option Spreads—Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only a…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376750.pdf
EFTA01376754Dataset 10
1p475w
…by underlying stock. Stock may be called at any time or at expiration, requiring owner to sell at strike price. 2. Purchasing Options Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. It position is not closed or exercised by expiration date, options will expire worthless. 3. Option Spreads—Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only a…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376754.pdf
EFTA01378965Dataset 10
1p491w
…by underlying stock. Stock may be called at any time or at expiration, requiring owner to sell at strike price. -- 2. Purchasing Options Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. If position is not closed or exercised by expiration date, options will expire worthless. 3. Option Spreads—Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only a…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01378965.pdf
EFTA01353531Dataset 10
1p458w
…by underlying stock. Stock may be called at any time or at expiration, requiring owner to sell at strike price. 2. Purchasing Options Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. It position is not closed or exercised by expiration date, options wil€ expire worthless. 3. Option Spreads—Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only a…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353531.pdf
EFTA01453161Dataset 10
1p443w
…underlying stock. Stock may be called at any time or at expiration, requiring owner to sell at strike price. O 2. Purchasing Options Involves Substantial Risk., Entire premium is at risk. Profit or loss usually determined by selling position. If position is not closed or exercised by expiration date, options will expire worthless. ❑ 3.0ption Spreads — Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01453161.pdf
EFTA01454017Dataset 10
1p444w
…underlying stock. Stock may be called at any time or at expiration, requiring owner to sell at strike price. O 2. Purchasing Options Involves Substantial Risk., Entire premium is at risk. Profit or loss usually determined by selling position. If position is not closed or exercised by expiration date, options will expire worthless. ❑ 3.0ption Spreads — Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01454017.pdf
EFTA01380002Dataset 10
1p486w
…underlying stock. Stock may be called at any time or at expiration, requiring owner to sell at strike price. e.52. Purchasing Options Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. If position is not closed or exercised by expiration date, options will expire worthless. Vi 3. Option Spreads—Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is dosed out. leaving only…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01380002.pdf
EFTA01353535Dataset 10
1p473w
…by underlying stock. Stock may be called at any time or at expiration, requiring owner to sell at strike price. 2. Purchasing Options Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. It position is not closed or exercised by expiration date, options will expire worthless. 3. Option Spreads—Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only a…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353535.pdf
EFTA01454073Dataset 10
1p443w
…underlying stock. Stock may be called at any time or at expiration, requiring owner to sell at strike price. O 2. Purchasing Options Involves Substantial Risk., Entire premium is at risk. Profit or loss usually determined by selling position. If position is not closed or exercised by expiration date, options will expire worthless. ❑ 3.0ption Spreads — Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01454073.pdf
EFTA00165874Dataset 9
4p2,809w
…may be called at any tittle or at strike price. ✓ 2. Purchasing Options by selling position. If position is not dosed Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined or exercised by expiration date, options will expire worthless. ✓ 3. Option Spreads—Margin account required. leaving only a short position. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, stock in the open market to…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00165874.pdf
EFTA01445154Dataset 10
10p2,732w
…may be called at any time or at expiration, requiring owner to sell at strike price. 2. Purchasing Options Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. If position is not closed or exercised by expiration date, options will expire worthless. 3. Option Spreads—Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only a short position, the financial…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01445154.pdf
EFTA01426472Dataset 10
2018-10-3120p4,218w
…called at any time or at expiration, requiring owner to sell at strike price. EFTA01426482 0 2. Purchasing Options Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. If position is not closed or exercised by expiration date, options will expire worthless. 0 3, Option Spreads—Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only a short position, the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01426472.pdf
EFTA01444786Dataset 10
2003-08-1814p3,620w
…Stock may be called at any time or at expiration, requiring owner to sell at strike price. 171 2. Purchasing Options Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. If position is not closed or exercised by expiration date, options will expire worthless. 3. Option Spreads — Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only a short position…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01444786.pdf
EFTA01444921Dataset 10
12p2,753w
…at expiration, requiring owner to sell at ; strike price. ; Y 2. Purchasing Options Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. If position is not closed I or exercised by expiration date, options will expire worthless. Y\ 3. Option Spreads—Margin account required. , Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only a short position the financial risk becomes unlimited. Option…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01444921.pdf
EFTA01444982Dataset 10
2013-02-2613p3,320w
…to purchaser of option. I/] 4. Uncovered Put Writing — IVlargin account and special statement for uncovered option writers required. Involves Substantial Risk. If assigned, the client must purchase the underlying stock at the strike price, which may be substantially higher than the then-current market price. 13 5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. Involves Substantial Risk. Writing uncovered calls involves unlimited financial risk, Option assignments require purchase of the underlying stock in…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01444982.pdf
EFTA01468648Dataset 10
11p2,619w
…by underlying stock. Stock may be called at any time or at expiration, requiring owner to sell at strike price. 2 Purchasing Options Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. If position is not closed or exercised by expiration date, options will expire worthless. 3 Option Spreads — Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only a…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01468648.pdf
EFTA01390466Dataset 10
1p308w
…not In good faith) that constitutes a. breach of duty or it manager to. the Company or an act or *minion that Involves intentional misconduct or a knowing Violatian of the law, (111) a transaction from which a mrautger received an improper benefit, whether or not the benefit resulted hum an actirintakerywIthin the scope of the manager's position,: or (iv) an act or omission for which the liability of a manager is expressly provided for by an applicable CONFIDENTIAL…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01390466.pdf
EFTA01355754Dataset 10
1p444w
…may be tolled at any tines al at expiration, requiring owner to sell at strike pace. zJ 2. Purchasing Options Involves Substantial Risk. intire premium is at risk. Profit or loss usually determined by soling position. If position is net closed or exercised by expiration date, options wig expire worthless. a 3. Option Spreads — Margin account required. Involves Substantial Risk In addition to risk of purchasing puts Or calls, it long side is closed out, leaving only a shon position…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01355754.pdf