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"Smith Incorporated"
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EFTA01088190
Dataset 9
2012-06-29
17p
3,945w
…licensed capacity, if any, with Merrill Lynch. Pierce, Fenner &
Smith Incorporated
. The information and data in the following report were obtained from sources deemed reliable. Their accuracy and completeness are not guaranteed, and the giving of the same is not deemed an offer or solicitation for the purchase or sale of securities. This report attempts to measure a particular universe of investments by averaging the performance of all securities in the index. The index may be a useful tool, but…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01088190.pdf
EFTA01358616
Dataset 10
1p
431w
…b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. Yes No (b) Is the marketer a related person of your firm? r (c) Name of the marketer: MERRILL LYNCH, PIERCE, FENNER &
SMITH INCORPORATED
(d) If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-): and CRD Number (if any): (e…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358616.pdf
EFTA01737698
Dataset 10
2016-08-09
14p
2,836w
Subject:
RE: Preferreds, thoughts on fixed income, mandatory converts
From:
"Ens, Amanda"
To:
"Jeffrey E." <
[email protected]
>, Richard Kahn
…MS or DB. If you'd prefer custody at BAML, the institutional custody account is not open yet so we likely need to wait until next week. Sorry for the inconvenience. Please let me know what you prefer. Thanks, Amanda Amanda Ens Director Bank of America Merrill Lynch Merrill Lynch, Pierce, Fenner &
Smith Incorporated
One Bryant Park, 5th Floor, New York, NY 10036 Phone: Mobile The power of global connectionsTM From: Jeffrey E. [mailto:ieevacationOomail.com] Sent: Monday, August 08…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01737698.pdf
EFTA01783089
Dataset 10
2016-09-14
3p
645w
Subject:
Fwd: ***Buy HES convert preferred following a 15% drop in the stock....
From:
Richard Kahn
To:
jeffrey E.
…maturity) • $575mm notional, $725mm market value outstanding =good liquidity) (This is not a product of BAML Research) Disclaimer: This material was prepared by Sector =pecialist Sales personnel of Merrill Lynch and is subject to the terms =vailable at the following link: http://corp.bankofamerica.com/business/smb/landing/emaildisclai=er/americas/global- markets Amanda Ens Director Bank of America Merrill Lynch Merrill Lynch, Pierce, =enner &
Smith Incorporated
One Bryant Park, 5th =loor, New York, NY 10036 The power =f global connections…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01783089.pdf
EFTA01378062
Dataset 10
1p
927w
…agent and lender. J.P. Morgan Securities LLC. Merrill Lynch. Pierce. Fenner &
Smith Incorporated
. Deutsche Bank Securities Inc. and BNP Paribas Securities Corp. acted as joint lead arrangers and joint bookrunners, affiliates of Deutsche Bank Securities Inc. and BNP Paribas Securities Corp. acted as co-documentation agents and lenders, an affiliate of Merrill Lynch, Pierce, Fenner &
Smith Incorporated
acted as syndication agent and lender, and affiliates of BMO Capital Markets Corp., Fifth Third Securities. Inc., SG Americas Securities. LLC, PNC…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01378062.pdf
EFTA01784353
Dataset 10
2016-07-15
3p
433w
Subject:
ML
From:
Richard Kahn
To:
jeffrey E.
…FX and rates sales, where she covered multinational =orporations and specialty finance companies. Amanda began her career in investment banking and interest rate =erivatives in 2006. Amanda holds a Bachelor =f Commerce in Finance from McGill University in Montreal, Quebec. Best, Amanda Amanda Ens Director Bank of America Merrill =ynch Merrill Lynch, =ierce, Fenner &
Smith Incorporated
One Bryant Park, 5th Floor, New York, NY 10036 Phone: 2 EFTA_R1_00105610 EFTA01784354 This message, and any attachments, is for the intended…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01784353.pdf
EFTA02353277
Dataset 11
2017-03-29
2p
143w
Subject:
AAPL trade recap
From:
Ens, Amanda
To:
Jeffrey E.; Richard Kahn
…100,000 shares AAPL at $143.55 Bought AAPL $150 19-May-2017 expiry calls on 2,500 contracts at $1.95 ($2.01 net of $6/contract commission) Premium: $502,500 Options will be booked OTC as listed option look-alikes Please let me know if you'd like to work an order on the balance. Thanks, Amanda Amanda Ens Director Bank of America Merrill Lynch Merrill Lynch, Pierce, Fenner &
Smith Incorporated
One Bryant Park, 5th Floor, New York…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02353277.pdf
EFTA02703140
Dataset 11
2016-04-27
3p
552w
Subject:
Fwd: AAPL trade idea from Merrill Lynch
From:
Richard Kahn
To:
Jeffrey E.
…through its =ubsidiaries and affiliate companies, provides banking and nonbanking =inancial services. Merrill =ynch, Pierce, Fenner &
Smith Incorporated
is a registered =roker-dealer, member of SIPC, and wholly owned subsidiary of Bank of America Corporation. 2 EFTA_R1_02078333 EFTA02703141 Investment products: Are =ot FDIC Insured Are =ot Bank Guaranteed May =ose Value ©200= Merrill Lynch, Pierce, Fenner &
Smith Incorporated
. All rights =eserved. Member =ecurities Investor Protection Corporation (SIPC). This message, and any attachments, is for the intended =ecipient(s…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02703140.pdf
EFTA02703202
Dataset 11
2016-05-03
4p
731w
Subject:
Merrill - BAC Step-Up & Biotech
From:
Richard Kahn
To:
jeffrey E.
…company that, through its =ubsidiaries and affiliate companies, provides banking and nonbanking =inancial services. Merrill =ynch, Pierce, Fenner &
Smith Incorporated
is a registered =roker-dealer, member of SIPC, and wholly owned subsidiary of Bank of America Corporation. Investment products: Are =ot FDIC Insured Are =ot Bank Guaranteed May =ose Value ©200= Merrill Lynch, Pierce, Fenner &
Smith Incorporated
. All rights =eserved. Member =ecurities Investor Protection Corporation (SIPC). This message, and any attachments, is for the intended =ecipient(s) only, may contain…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02703202.pdf
EFTA02702268
Dataset 11
2016-05-18
4p
581w
Subject:
Fwd: New Preferred
From:
Richard Kahn
To:
Jeffrey E.
…company that, through its =ubsidiaries and affiliate companies, provides banking and nonbanking =inancial services. Merrill =ynch, Pierce, Fenner &
Smith Incorporated
is a registered =roker-dealer, member of SIPC, and wholly owned subsidiary of Bank of America Corporation. Investment products: Are =ot FDIC Insured Are =ot Bank Guaranteed May =ose Value ©200= Merrill Lynch, Pierce, Fenner &
Smith Incorporated
. All rights =eserved. Member =ecurities Investor Protection Corporation (SIPC). This message, and any attachments, is for the intended =ecipient(s) only, may contain…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02702268.pdf
EFTA02708949
Dataset 11
2016-05-23
5p
879w
Subject:
Fwd: New Preferred
From:
Richard Kahn <
To:
jeffrey E.
…through its =ubsidiaries and affiliate companies, provides banking and nonbanking =inancial services. Merrill =ynch, Pierce, Fenner &
Smith Incorporated
is a registered =roker-dealer, member of SIPC, and wholly owned subsidiary of Bank of America Corporation. Investment products: Are =ot FDIC Insured Are =ot Bank Guaranteed May =ose Value ©200= Merrill Lynch, Pierce, Fenner &
Smith Incorporated
. All rights =eserved. Member =ecurities Investor Protection Corporation (SIPC). 4 EFTA_R1_02112968 EFTA02708952 This message, and any attachments, is for the intended =ecipient(s…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02708949.pdf
EFTA00824975
Dataset 9
2016-06-24
2p
378w
Subject:
Fwd: UK Referendum
From:
Richard Kahn
To:
"Jeffrey E." <
[email protected]
>
…is a financial holding company that, through its subsidiaries and affiliate companies, provides banking and nonbanking financial services. Merrill Lynch, Pierce, Fenner &
Smith Incorporated
is a registered broker-dealer, member of SIPC, and wholly owned subsidiary of Bank of America Corporation. Investment products: Are Not FDIC Insured Are Not Bank Guaranteed May Lose Value ©2009 Merrill Lynch, Pierce, Fenner &
Smith Incorporated
. All rights reserved. Member Securities Investor Protection Corporation (SIPC). This message, and any attachments, is for the intended recipient…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00824975.pdf
EFTA00825057
Dataset 9
2016-06-23
3p
652w
Subject:
Fwd: S&P Trade Idea
From:
"jeffrey E." <
[email protected]
>
To:
Jeffrey Epstein <
[email protected]
>
…is a financial holding company that, through its subsidiaries and affiliate companies, provides banking and nonbanking financial services. Merrill Lynch, Pierce, Fenner &
Smith Incorporated
is a registered broker-dealer, member of SIPC, and wholly owned subsidiary of Bank of America Corporation. Investment products: Arc Not FDIC Insured Arc Not Bank Civarantccd May Lose Value O2009 Merrill Lynch, Pierce, Fenner &
Smith Incorporated
. All rights reserved. Member Securities Investor Protection Corporation (SIPC). This message, and any attachments, is for the intended recipient…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00825057.pdf
EFTA00812322
Dataset 9
2018-07-24
1p
155w
Transmitted on: 07/24/18 14:13:11.173 ET Bankof America', Merrill Lynch MERRILL LYNCH. PIERCE. FENNER &
SMITH INCORPORATED
ML Ref. No: 00000201807242701569 ATTN: OPERATIONS Fax Number: At: BAML A/C SOUTHERN TRUST COMPANY SOUTHERN TRUST COMPANY. INC. Account: SOUTHERN TRUST 15704A21 Confirmation No: 2018-07-2414130172201 02 01 Copy/Deg. No: 01-02 YOU SOLD 40,000 TENCENT HOLDINGS LTD ADR SEDOL: B3F2DZ7 ISIN: US88032Q1094 CUSIP: 88032Q109 ML SECURITY: 741X9 PRICE: 413.13190000 USD PRINCIPAL: 1.925.276…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00812322.pdf
EFTA00823930
Dataset 9
2016-07-13
3p
773w
Subject:
Fwd: Preferred Opening up @ 10 AM
From:
Richard Kahn
To:
"Jeffrey E." <
[email protected]
>
…a financial holding company that, through its subsidiaries and affiliate companies, provides banking and nonbanking financial services. Merrill Lynch, Pierce, Fenner &
Smith Incorporated
is a registered broker-dealer, member of SIPC, and wholly owned subsidiary of Bank of America Corporation. Investment products: Are Not FDIC Insured Are Not Bank Guaranteed May Lose Value ©2009 Merrill Lynch, Pierce, Fenner &
Smith Incorporated
. All rights reserved. Member Securities Investor Protection Corporation (SIPC). EFTA00823931 This message, and any attachments, is for the intended recipient…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00823930.pdf
EFTA00602612
Dataset 9
2014-04-16
26p
5,904w
…Mede:loafs named fenaneW profile fa which readier US Trust ow Merrill toast. Piro& Fenner lk Smith Inowporated sows as an whim'. Merrill Lynch. Pierce. Fenner est
Smith Incorporated
if .1 roistered tooter-dealer. member FTNRA end SIM. and a wholb owned erteimbary of Bank Of~Oa ~cation- ›ItItil Lynch. 11~ Neuter rie
Smith Incorporated
Sienna sera as a tat otter?! advisor Several products such as mutual funds maid:leannuities, :Al other sheerimive inewsimenta Out rory be mentioned aeon Moorman ellernoldre…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00602612.pdf
EFTA00633278
Dataset 9
2017-01-23
2p
681w
Subject:
CIO Outlook January 2017 - Fixed Income 2017
From:
"Paul V. Morris"
To:
Jeffrey Epstein <
[email protected]
>
…markets. Merrill Lynch makes available products and services offered by Merrill Lynch, Pierce, Fenner &
Smith Incorporated
(MLPF&S) and other subsidiaries of Bank of America Corporation. The Private Banking and Investment Group is a division of MLPF&S that offers a broad array of personalized wealth management products and services. Both brokerage and investment advisory services (including financial planning) are offered by the Group's Private Wealth Advisors through MLPF&S. The nature and degree of advice and assistance provided…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00633278.pdf
EFTA01204270
Dataset 9
2014-05-20
26p
5,996w
…Mede:loafs named fenaneW profile fa which readier US Trust ow Merrill toast. Piro& Fenner lk Smith Inowporated sows as an whim'. Merrill Lynch. Pierce. Fenner est
Smith Incorporated
if .1 roistered tooter-dealer. member FTNRA end SIM. and a wholb owned erteimbary of Bank Of~Oa ~cation- ›ItItil Lynch. 11~ Neuter rie
Smith Incorporated
Sienna sera as a tat otter?! advisor Several products such as mutual funds maid:leannuities, :Al other sheerimive inewsimenta Out rory be mentioned aeon Moorman ellernoldre…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01204270.pdf
EFTA01088415
Dataset 9
2014-04-16
26p
5,990w
…Merrill Lynch. Pima. !Mawr&
Smith Incorporated
dogmas mamma tat or Mal advisor. Several products such as mutual funds iariable annuities and other alternative inteamenti that maybe marks:ad ammingelment alternatim fa you are only toe sold "hew Procaled MaCromPanied by a meant prospeam and/or affair., merrewanda. The prapraus aratfor *fining memccanda prink mem cornpkite information on the prods& including diaries mews and special imminent and should he read carefully before inverting. The fallowing report la for fiduciary me only…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01088415.pdf
EFTA00826577
Dataset 9
2016-05-31
3p
742w
Subject:
Fwd: New Preferred
From:
Richard Kahn •Tzl [=.
To:
"Jeffrey E."
[email protected]
>
…is a financial holding company that, through its subsidiaries and affiliate companies, provides banking and nonbanking financial services. Merrill Lynch, Pierce, Fenner &
Smith Incorporated
is a registered broker•dealer, member of SIPC, and wholly owned subsidiary of Bank of America Corporation. Investment products: Are Not FDIC Insured Are Not Bank Guaranteed May Lose Value ©2009 Merrill Lynch, Pierce, Fenner &
Smith Incorporated
. All rights reserved. Member Securities Investor Protection Corporation (SIPC). This message, and any attachments, is for the intended recipient…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00826577.pdf
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