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Corpus: 1990-03-17 – 2025-12-01
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EFTA01595081
Dataset 10
2010-10-04
6p
1,790w
Subject:
Corporale Action Notf catIon Global Consent Offer 10553Y9A5 (CIN
From:
P -B Corpocate Aocns
To:
Janet Young
Young, Janet E From: P -
B
Corpocate Aocns Sent: Thursday. Aril ' 9, 2012 10 31 AM To; PB-Seinace" 318 Subject: Corporale Action Notf catIon Global Consent Offer 10553Y9A5 (CIN Sit USIP:. 6 RASKEM FINANCE LTD 144A 7 ',5,'8% OCT 29 2049 (AID. N171175 To: Janet Young Gina Swetra Pauline Esposito gaanna Behringer 1318P13-Service Officer Cade. 01 Please note there is an AMENDMENT to this corporate action, Kindly review the terms helow, and inform the client of the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01595081.pdf
EFTA01470072
Dataset 10
2014-07-01
52p
7,168w
…Sold - UNITED STATES DOLLAR BOND INTEREST RECEIVED 81760NAN9 BOND INTEREST RECEIVED 12669DYS1 CASH DIVIDEND RECEIVED GE SERVICEMASTER CO SR NT -
CUSIP
FULLY EXCHANGED FROM OLD
CUSIP
81760NAL3 8.000% 02/15/20
B
/E DTD EFTA01470109 02/13/12 CLB ACCRUED INTEREST 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL B1 4.090% 03/25/33
B
/E DTD 01/30/03 RD 06/30 PD 07/25/14 23000 SHRS GENERAL ELECTRIC CO COM RD 06/23 PD 07…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01470072.pdf
EFTA00558461
Dataset 9
11p
10,072w
…Certificates of Deposit AT MATURITY. (Submit this transfer no earker than 30 days prior to maturity.) maturity one
B
Partial Brokers • Trust Corn • an or Annuity Transfer. (Transfer only the assets or shares fisted below) Choose Ono for Each Rem Liquidate and Trarasfer Quanti Description of Asset and
Cusip
ocAutbol Transfer cash Shares As Is MI O O BAIT All 'For additional assets_pleaso attach a separate sheet O 8 3 re utual Fund Company Transfer. Ono form per Fund…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00558461.pdf
EFTA00797609
Dataset 9
2018-06-14
4p
1,406w
…contracts or agreements that were in effect during the Examination Period. 9. Securities Holdings. A spreadsheet (preferably in Excel) listing the names of securities held in all client portfolios (aggregate position totals for all instruments) as of May 31, 2018. For each security, include: a. security name; ,
b
.
CUSIP
(or other identifier); c. name of each client holding an interest; d. client account number; e. number of shares or principal and/or notional amount held owned by each client; f…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00797609.pdf
EFTA01465290
Dataset 10
2018-05-15
8p
1,266w
…46625HHA1 JPMORGAN CHASE & CO DEP SHS REPSTG 1/10TH PFD SER 1 FIXED TO FLTG RATE 7.900% 12/01/99
B
/E DTD 04/23/08 CLB CLB 04/30/18 @100.000 3000000 3274500 CORPORATE BOND USD 109.15 DBDA MMFDBDA INSURED DEPOSITS PROGRAM 6665989.75 6665989.75 MONEY FUND 1 Total SUM(E4:E9)=1.604823975E7 Source: Pershing Date: as of 10.15.13 Confidential EFTA01465290 Jeepers Inc Account # N4G024935 Account Short Name: EPSTEIN Symbol
CUSIP
Sec…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01465290.pdf
EFTA01465326
Dataset 10
2008-04-23
4p
1,062w
…DTD 03/20/13 N/C 1000000 1000000 CORPORATE BOND USD 0 813900 HBC3990776 40432XE56 HSBC USA INC MEDIUM TERM NTS BRAZILIAN REAL EFTA01465326 RELATIVE TO USD 0.000% 04/21/14
B
/E DTD 04/12/13 N/C 1000000 1000000 CORPORATE BOND USD 0 838900 Total Brokerage SUM(E28:E31)=5200428.15 Checking Account 42952763 72921.98 Money Market 44129244 2.72550485E7 Total STC SUM(E32:E34)=3.2528398630000003E7 Account Short Name: SF Account # • N4G023804 Symbol
CUSIP
Sec…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01465326.pdf
EFTA01374507
Dataset 10
2016-06-28
1p
275w
Issuer Name Preferred Equity Symbol
Cusip
BB&T CORPORATION bbt h pfd 54937875 CAPITAL ONE FINANCIAL CO cof d pfd 14040H709 CAPITAL ONE FINANCIAL CO cof f pfd 14040H881 CHARLES SCHWAB CORP schw c Pfd 808513402 CHARLES SCHWAB CORP schw d Pfd 808513600 DIGITAL REALTY TRUST INC Dlr g Pfd 253868889 DTE ENERGY CO dtj pfd 233331800 EBAY INC ebayl Pfd 278642202 GENERAL ELECTRIC CO gek pfd 369622394 JPMORGAN CHASE & CO JPM f PM 48127R461 JPMORGAN CHASE & CO IPM h…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374507.pdf
EFTA01470825
Dataset 10
2004-06-01
8p
861w
…Name: EPSTEIN Symbol
CUSIP
939336S20 90184L102 81760NAN9 800677106 80283M101 780097713 P7807HAF2 N51488117 539439AG4 EFTA01470825 G4S15PP48 G5433BBG8 46625HHA1 48126NVE4 46625H100 42210PAQ5 42222G108 37045V100 375558103 369622SN6 369604103 350465100 30303M102 270321AC6 842400FU2 97717W851 MMFDWGI 064058100 09062X103 06739FHK0 12669DYS1 060505DT8 04351G101 04033A100 037612306 02005N308 361860208 037833100 AAL 01172015 P 20 99QADTZQO AAL 01172015 C 20 99QADTZJJ Sec. Description WASHINGTON MUT MTG SECS CORP 2004-RA2 MTG PASSTHRU CTF CL C-
B
-1 VAR RATE 6.972% 07/25/33
B
/E DTD 06/01…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01470825.pdf
EFTA01356626
Dataset 10
1p
241w
Trading Fixed Income HRM Rules applies- No Supporting Document -NO Check points: a. TAG verifies
Cusip
and holdings for the Security.
b
. For Trading Equity cases following comment should be there in description: "All security and account restriction review passed" c. If for buy trade balance is not sufficient in Global plus then we check incoming funds reason should be mentioned in the description. e. In case if the teas is created from account number then approval from Jennifer Barker…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356626.pdf
EFTA01455465
Dataset 10
2004-06-01
1p
905w
Account s ACCOUld Shad Name. EPSMN Symbol I
CUSIP
Sec. Description Quantity Position Val. Sec. Type PosRion Meld I UWE Val. I Acct. Type I Trans. Type I Last Pricey Price Date Chg. WAMU3515294 939336520 WASHINGTON MUT MTG SECS CORP 2001•RA2 MTG PASSTHRU CTF CL C-13•1 VAR RATE 6.972% 07/25/33 BE DTD 06/01/04 N/C 1,290,000 648 526.81CORPORATE BOND US0 648,526.810CASH Long 87.0130 TWTR 901841102 TWITTER…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455465.pdf
EFTA01455052
Dataset 10
2012-02-03
1p
351w
Deutscte Pam Pr mate wean Managentsi 'owe., Coen* Gmte Dessunt Satyr:tIt Ms%co' 0111‘• PO Boc 1776. Baltimore MD 21203 30 Piet Annie,. N.M.
b
., Mesta Y. 1004 Statement Period: 07101/2014 47(31)2014 Portfolio Holdings (continued) U.S. DOLLARS (continued) Unrealized Estimated Est mated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain! Lott Annual Income Yield Equities (continued) Common Stocks (continued) SAN TAN DER CON SUM ER USA HLDOS INC COM (continued…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455052.pdf
EFTA01511324
Dataset 10
2001-12-01
1p
178w
…Descripbon Current SWAN Premium Curren: Alsace Unfeelized
Cusip
Currency Chantey Unit Cost encellnit USD Value USD Genstess DSO Equities BEAR STERNS USD -4,530 4.22 4.252 - 19,116.60 - 19,261.56 - 144.96 OTC EUROPEAN CALL OPTION JAN 18 2002 e 55 MGT NEWYORK REF # 2129445 Underlying Asset Price = 50.00 OTCEOC-AF-
B
BEAR STEARNS COMPANY USD - 75470 4.13 4.252 - 311,691.10 - 320,898.44 - 9,207.34 OTC EUROPEAN CALL OPTION…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01511324.pdf
EFTA01455058
Dataset 10
2014-07-01
1p
296w
…07/25/33
B
/E DID 06/01104 RD 06130 PD 07/25/14 07/31/14 MONEY MARKET FUND DWS GOVT CASH INSTL 750.64 USD INCOME RECEIVED 07/31/14 CASH DIVIDEND RECEIVED 14503 RS P M AN CHASE& CO COM 5,801.20 USD PM 07/03 PD 07/31/14 Total Dividends and Interest - UNITED STATES DOLLAR 0.00 56,959.99 Distributions 07116/14 SECU RITY REDEEM ED SERVICEMASTER CO SR NT •
CUSIP
FULLY EXCHANGED…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455058.pdf
EFTA01372536
Dataset 10
2019-02-11
1p
376w
…AG N Y BRH VAR ISINMUS2515268N89 - 4.875% 12/01/32
B
/E 2/11/2019 2/13/2019 SELL 1.000,000.0000 DTD 12/01/17 CLB 2515268N8 81.35000000 61? S00.0:., -9,750.00 6.00 USD TRADE STLMNT TRANS. DATE DATE BUY/SELL QUANTITY SEC. DESCRIPTION
CUSIP
PRICE PRINCIPAL INTEREST FEES CCY BUCKEYE PARTNERS L P FIXED TO ELIE RATE NT 6375% - 01/22/78
B
/E DID 2/11/2019 2/13/2019 SELL…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372536.pdf
EFTA01459324
Dataset 10
2018-07-19
1p
580w
…or sale is not permitted. Subject to completion dated January 12. 2016 January , 2016 Registration Statement No 333-1S9966, Rule 424(
b
)c2) J.P. Morgan JPMorgan Chase & Co Structured Investments Capped Contingent Buffered Return Enhanced Notes Linked to the EURO STOXX 50° Index due July 19, 2018 • The notes are designed for investors who seek a return of 2 times any appreciation of the EURO STOXX 5e Index, up to a maximum return of at least 40.00% at…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01459324.pdf
EFTA01455353
Dataset 10
2014-08-01
1p
327w
…C-
B
-1 VAR RATE 6.972% 07/25/33 WE DTD 06/01/04 S 8 P Rating D Factor: 0.57776879 Effective Date:08/01/14 Current Face Value: 745,321.739 12/13/13',3,'2 1,290,000.000 76.5190 510,309 83 87.0420 648,742.95 78,433.12 4,330.58 Original Cost Basis' $638.906.71 Total Asset Backed Securities $1,544,392.78 $1,547,910.64 $3,517.86…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455353.pdf
EFTA01361662
Dataset 10
2014-12-01
1p
371w
…Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) SERVICEM ASTER CO SR NT •
CUSIP
FULLY Security Identifier: 81760NAN9 EXChANGED FROM OLD CUSP 81760NAL3 8.000% 02115120 8/E DTD 02113112 Moody Rating CAM S P Rating
B
- 01/2013 '.3.12 440.000.000 104.9300 461.692.79 105.2500 463,100 01 1,407.22 13.297.78 35,200.00 …
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01361662.pdf
EFTA01455354
Dataset 10
2014-08-01
1p
316w
…Total 1,000,000.000 $1,025,749.10 $1,022,500.00 43,249.10 $28,131.94 $08,750.00 SERYICEM ASTER CO SR NT -
CUSIP
FULLY Security Identifier: 81780N AN9 EXCHANGED FROM OLD
CUSIP
81760NAL3 8.000% 02/15120 WE DTD 02113112 Moody Rating CriA1 S & P Rating
B
- 01/24/13 '.12,13 440,000.000 101.5910 460,199.63 107.2500 471,900 01 11,700.38 1.561.11 35,200.00 7…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455354.pdf
EFTA01505125
Dataset 10
2002-07-01
1p
265w
…Oescripoon Counter Counter Premium Premium Prermum Current Market Unrealized
Cusip
Arnow,: Currency Amount Currency Local USD Value USD Garntess USD Foreign Exchange continued SEK PUT USD CALL SEK - 64,470,000 USD - 7,000,000.00 USD - 339,850.00 - 339,850.00 - 389,561.91 - 49,711.91 FX EUROPEAN STYLE OPTION DEC 20, 2002 (
b
9.21 XSEKPA-BL-Z NOK PUT USD CALL NOK - 129,540,000 USD - 17,000,000.00 USD - 750,880.00 - 750…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01505125.pdf
EFTA01454439
Dataset 10
2014-05-31
1p
335w
…14/14 23 SERVICEMASTER CO SR NT -
CUSIP
FULLY 2.68 2,748,958 0.38 8.66 8.66 12/31/2013 EXCHANGED FROM OLD
CUSIP
81760NAL3 :13 8.000% 02/15/20
B
/E DTD 02/13/12 CLB a rg SG STRUCTURED PRODS INC COMMODITY 2.11 2,171,000 1.05 6.98 6.98 12/31/2013 LKD MKT PLUS PROTECTED NOTES 0.000% 08105/14
B
/E DTD 07/30/13 SOUTHERN CALIF EDISON…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01454439.pdf
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