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"TD Amentrade"
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EFTA01268333
Dataset 10
1p
358w
Subject:
TD Amentrade
From:
Paulina.Seoulveda4
From: Paulina.Seoulveda4 To: Cc: Subject:
TD Amentrade
Date: Monday. May 5. 2014 5:05:55 PM Hello Mr. Epstein, I am your new Investment Consultant here in Sunny Isles Beach, FL. I wanted to reach out and offer assistance to with your investment needs. I also wanted to provide you with an update - Mr. Galloway and Mr. Indyke have provided me with the requirements to get started, and I will be sending everyone the funding instructions once we have…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268333.pdf
EFTA01268279
Dataset 10
4p
1,940w
…Alternatively, if t is TD ArneritradOccount is an Individual Retirement Account (IRA), I have adopted IRA plan so I t it names the successor custodian. (Medallion Signature Guarantee — For
TD Amentrade
Use Only) X Client Signalize: ------- (....- Dale./ X 4X Co-Caner% Signature. Co-Owner's Signalize. ... .........„....,..--- Date: Dale: Uate: X Co-Owners Signature: 7. LETTER OF ACCEPTANCE (FOR OFFICE USE ONLY) The undersigned organization agrees to serve as successor custo Ian for the account of the above-named individual, and…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268279.pdf
EFTA01268291
Dataset 10
4p
2,248w
…Signature: Date: Representative Printed Name: For TD Ameritrade Clearing. Inc. use only Please be advised that TO Ameritrade Clearing. Inc. is an Approved 403(b)(7) Vendor andror has entered into an Information Sharing Agreement with the Employer for the above-captioned 403(b)(7) account. The Employer/Agent Signature above hereby authorizes
TD Amentrade
Clearing. Inc. to accept this exchange. Investment Products: Not FDIC Insured ' No Bank Guarantee ' May Lose Value TD Ameritrade, Inc. and TD Amedtrade Clearing, Inc.…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268291.pdf
EFTA01268357
Dataset 10
3p
1,836w
…PLEASE PROVIDE INFORMATION ABOUT THE DELIVERING ACCOUNT Your
TD Amentrade
Account (The registration of the account being transferred should match your (As directed in Section 1both registration and Tax los for the TO Ameritrade account and the Tax ID for both the TO Ameritrade TO Anterifrade account and account being transferred should match.) account and account being transferred.) Account Number (Required): Account Number (Required): may one per formia (Onlyone perform Accoamt Registretion/Tglo: Account Regstraticorritle: SOUTHERN FINANCIAL LLC SOUTHERN FINANCIAL…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268357.pdf
EFTA01268387
Dataset 10
4p
2,232w
…Indicated, 1authorize the Transferor to liquidate any non-transferal* proprietary money market EICheCk and mutual fund assets that are part of my account and to transfer the restating crook balance to my account with TO Amentrade. If the fundis unable to be had by TD Ameritrade, I (please initial here) authorize the Transferor to liquidate and transfer as cash. SDNY_GkeDSMit CONM1DENTIAL EFTA_00122961 EFTA01268388
TD Amentrade
Accl C. BANK/CREDIT UNION 8. ANNUITY/LIFE INSURANCE TRANSFER Transfer cash only…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268387.pdf
EFTA01268448
Dataset 10
3p
1,876w
…Omaha, NE 68103-2760 Fax: 866-468-6268 Receiving Firm DTC Clearing Number: 0188 Please use the Direct Registration System (DRS) Transfer Form TDA 100557 for transfer from a transfer agent. Instructions: Attach a complete copy of your most recent statement, of the account you are requesting the transfer from, (dated within 90 days) in order for the transfer to be processed. Please submit the completed form to
TD Amentrade
Attn: TD Ameritrade, PO Box 2760, Omaha, NE 68103-2760…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268448.pdf
EFTA01268464
Dataset 10
3p
1,803w
…Sharing Agreement with the Einott.ryer for the above-captioned 403(b)(7) account. The Employer/Agent Signature above hereby authorizes TO Ameritrade Clearing. Inc. to accept this exchange. Investment Products: Not FDIC Insured • No Bank Guarantee ' May Lose Value TO Ameritrade. Inc. and TD Ameritrade Clearing, Inc., members FINRA/SIPC.
TD Amentrade
Is a trademark jointly owned by TO Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. 0 2018 TD Amerltrade. SDNY_Getittiall,(Negag CONFIDENTIAL EFTA 00123067 EFTA01268466
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268464.pdf
EFTA00283674
Dataset 9
2014-05-08
5p
2,025w
From:
Paulina Sepulveda Date: 5/8/2014
To:
Southern Trust Co Fax
…the Client Agreement. All securities, dividends and proceeds yid be held at TO Ameritrade Clearing, Inc. mien otherwise instructed. I understand that
TD Amentrade
may obtain a current consumer or credit report to determine my eligibility, or continuing eligibilty, for credit or for other legitimate business purposes My decision by TD Ameritrade to extend credit may be based on iiturnialion contained in a consumer or credo report, as well as the policies of TD Amerltrade Clearing, Inc. I understand that…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00283674.pdf
EFTA01242476
Dataset 9
2p
1,148w
…No commission 'The Fund Family will charge fees as detailed in the fund prospectuses. No-transaction-fee (NTF) funds (except ProFunds and Rydex) held 180 days or less are subject to a Short-Term Redemption fee of 549.99. This fee is in addition to any applicable transaction fees or fees addressed in the fund's prospectus.
TD Amentrade
receives remuneration from fund companies participating in its no-load. NW program for recordkeeping and shareholder services and other administrative services…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01242476.pdf
EFTA01268363
Dataset 10
3p
1,825w
…If partial is selected, amount for partial must be included.
TD Amentrade
Is not responsible for the timing or execution of liquidations processed by the delivering firm. C. MUTUAL FUND COMPANY TRANSFER Check box for In-kind or Liquidation Transfer. Please list the Symbol or CUSIP for the Mutual Fund(s) you wish to move. Unless otherwise Indicated,
TD Amentrade
wit transfer shares in-kind. This section per tains only to shares of Mutual Funds held directly with the fund…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268363.pdf
EFTA01242468
Dataset 9
6p
3,950w
…undersigned hereby authorize the parties listed in Section 5 of this application (Authorized Agents"), or any one of them, as the Partnership's agents and attorneys-in-fact. 2. FUNDING YOUR ACCOUNT Please consult the
TD Amentrade
Account Handbook for funding guidelines. I vnll be funding with: check. Please make check payable to TD Ameritrade Clearing, Inc. wre transfer to be initiated after account opening. Please contact "ID Ameritrade prior to initiating a wire transfer. transfer of assets from an…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01242468.pdf
EFTA01242481
Dataset 9
4p
2,211w
…fractional shares cannot be transferred. Please contact the delivering firm regarding your options. For Partial Transfers, list descriptions of assets and shares. Unless otherwise indicated,
TD Amentrade
will transfer in Full. 'Please note—TO Ameritrade cannot request Mutual Funds held at Brokerage Firms to be liquidated. To place trades for liquidation, please contact the delivering firm prior to submitting the transfer request. Some money market funds are self-liquidating. To liquidate others, please contact the delivering firm. A. BROKERAGE FIRM…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01242481.pdf
EFTA01268366
Dataset 10
3p
1,798w
…marker O Check andmutual fund assets that are part of my account and to transfer the resulting credit bane.; to my account with TO Ameritrade. If the fundis unable to be held by
TD Amentrade
, l (please initial here) authorize the Transferor to liquidate and transfer as cash. so194.119ficlittii2272 COMPIDENTIAL EFFA_00122922 EFTA01268367 TO Ameritrade Acct i 867-730320 Registration Difference For unlike titled or type transfers, such as Individual to Jolt I authorize the transfer from account to…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268366.pdf
EFTA01268457
Dataset 10
3p
1,820w
…tittelregistration transform please call the transfer department et 888-723-6501, option 4 for additional requirements. Please note if there are any issues with processing your transfer we will communicate that fo you via your secure message center when you log in to your account. 11111111111111111 II III IIIIIIIII CONFIDENTIAL SONY_Grais,ftrgapfb EF1'A_00123061 EFTA01268457
TD Amentrade
Acct or 867-730320 A. BROKERAGE FIRM TRANSFER (Unless otherwise indicated, TO Ameritrade will transfer in Ful0 OFull Transfer—To transfer…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268457.pdf
EFTA01268434
Dataset 10
3p
1,830w
…Signature: 6. TD AMERITRADE CLIENT AUTHORIZATION (REQUIRED) X Signature: All TD Ameritrade account holders (clients or trustees) as indicated by the account registration must sign this section. Unless otherwise indicated in the instructions above, please transfer, in-kind, all assets into my account with
TD Amentrade
. I understand that the extent any assets in my account are not readily transferable, with or without any penalties, such assets may not be transferred within the time frames required by apparable regulations. I…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268434.pdf
EFTA01252229
Dataset 9
3p
1,863w
…Incur from °Check any early withdrawal. Select only one: Liquidate annuity in full or partial liquidation. If partial is selected, amount for partial must be included.
TD Amentrade
is not responsible for the timing or execution of liquidations processed by the delivering Arm. MUTUAL FUND COMPANY TRANSFER Chock box for In-kind er Liquidation Transfer. Please list the Symbol or CUSIP for the Mutual Fund s) you wish to move. Unless otherwise Indicated. TD Ameritrade will transfer shares in-kind…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01252229.pdf
EFTA01268310
Dataset 10
4p
1,540w
…submit the Entity Authorized Agent rorm I LlAttti/ located within me forms livery: https://vnwridamentracte.comnorm-library. Account Number: S(jarheiciv 17nfignici4l LLC The Account Owner(s) listed below hereby authorizes and appoints the Authorized Agent(c) below se the Account Owners or owners agents and attorneys-In-tact for the purchase and sale of securities and other financial Instruments in cash and/or on margin in the Account Owners or Owners' name or number on the
TD Amentrade
Clearing…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268310.pdf
EFTA01268283
Dataset 10
4p
1,930w
…TD AMERI (RADE, CLIENTADTHORIZATION (REQUIRED)- X SIgnallet All TD Ameritrade account holders (clients or trustees) as Indicated by the account registration must sign this section. Unless otherwise indicated in the Instructions above, please transfer, Irkkind. an assets into my account with
TD Amentrade
. I understand that the extent any assets in my account are not readily transferable, with or without any penalties, such assets may not bo transferred within the time frames required by applicable regulations. I understand I will…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268283.pdf
EFTA01268325
Dataset 10
5p
1,968w
…be dearly and convindngly proven to have resulted from gross negligence. DAC as a to: Printed Name: Eimer' Delos Additional Account Header's Signature: X Printed Name: Datix Original signature required; electronk signatures andlor signature fonts are not authorized. 6. INSTRUCTIONS Section 1. a. To locale your
TD Amentrade
account number, log In lo your account and go to Client Services > My ProNe > Personal information. 0.1f you are wiring from a trust, corporate, or other entity account…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268325.pdf
EFTA01176572
Dataset 9
2012-07-01
9p
8,988w
… 2.422 COteti~6 2.000 Se u4SECutlD 87236.9144 845
TD AMENTRADE
4.150% 12/1/2014 07692 1.10 8001 A 2.409 numer 2.000 COriawnotrum 209615(49 930 CCNSOL NAI GAS 5.000% 12112014 10.913 0.70 13442 2.390 urtim 1,000 we ~comp 24422ERK7 3,945 JOHN DEERE CAP 1.250% 120.0014 02036 0.45 42 A 2.518 hrams 1,000 II ~WARD 2240448/48 1,500 COX COmmisi INC 5450% 12n…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01176572.pdf
Corpus: 1990-03-17 – 2025-12-01
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