""the the Securities Exchange Act"" — Epstein Files Search

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9 results for “"the the Securities Exchange Act"”

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EFTA01108276Dataset 9

2003-07-0153p25,836w

SRZ DRAFT 1/12/04 NAME: COPY NO.: JET CAPITAL A RAGE AND EVENT FUND I, L.P. CONFIDENTIAL MEMORANDUM November 2003 Jet Capital Management, L.L.C. 767 Fifth Avenue 44th Floor New York, NY 10153 IN MAKING AN INVESTMENT DECISION, INVESTORS MUST RELY UPON THEIR OWN EXAMINATION OF THE PARTNERSHIP AND THE TERMS OF THE OFFERING, INCLUDING THE MERITS AND RISKS INVOLVED. THE INTERESTS HAVE NOT BEEN FILED WITH OR APPROVED OR DISAPPROVED BY THE SECURITIES AND EXCHANGE…

https://www.justice.gov/epstein/files/DataSet%209/EFTA01108276.pdf

EFTA01080289Dataset 9

2012-11-14130p66,380w

• A Resource Guide to the U.S. Foreign Corrupt Practices Act By the Criminal Division of the U.S. Department ofJustice and thy Enforcement Division of the U.S. Securities and Exchange Commission EFTA01080289 This guide is intended to provide information for businesses and individuals regarding the U.S. Foreign Corrupt Practices Act (FCPA). The guide has been prepared by the =if of the Criminal Division of the US. Department of Justice and the Enforcement Division ofthe US. Securities and…

https://www.justice.gov/epstein/files/DataSet%209/EFTA01080289.pdf

EFTA00236793Dataset 9

2014-07-0120p15,253w

…the spouses (including former spouses), or (B) Fund; or (d) The Undersigned is a "broker or direct lineal descendants by birth or dealer" registered pursuant to Section 15 of adoption, (ii) spouses of such persons, (b) Each Grantor of the trust has the the Securities Exchange Act; or (iii) the estates of such persons or power to revoke the trust and regain title to (iv) foundations, charitable organizations or the trust assets, and each grantor is an (e) The Undersigned…

https://www.justice.gov/epstein/files/DataSet%209/EFTA00236793.pdf

EFTA01273265Dataset 10

2014-07-0119p10,781w

4tUBS UBS Financial Services Inc. Account Number Client Id Fund Investment Application Cover Sheet ATLAS ENHANCED FUND LP Fund Name Ghldalne Maxwell Account title Ghlslalrie MarweN Client Name ACU6 Form EF2366SS Control Number Application id ECS-0114989654 lentiffhRERVII ECS-Ol 14989654 O200s U13.5 'Mandel Services Inc. Al Rights Reserved. Member SPC For Internal the 00y SDNY_GM_00020437 CONFIDENTIAL EFTA_00 I 31057 EFTA01273265 • B•A•• m•• SAL vASNV ASSFT MANAGEMENT , fr Atlas Enhanced Fund, L.P. Investor Application…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01273265.pdf

EFTA00237385Dataset 9

2014-07-0120p14,608w

UBS ALPHAKEYS EUROPEAN REAL ESTATE OPPORTUNITIES FUND II, L.L.C. Investor Application Form Investor(s) Please: • Complete the Investor Application Form via UBS Online Services ("OLS") OR return this entire Subscription Booklet to your Financial Advisor. • Only fully completed Subscription Booklets (no faxes, no copies) will be accepted. • DO NOT TEAR OUT PAGES. • Retain a copy for your files. • Read the Fund's Memorandum and the Subscription Agreement. • Please refer to the enclosed Tax Forms and speak to your…

https://www.justice.gov/epstein/files/DataSet%209/EFTA00237385.pdf

EFTA00236102Dataset 9

UBS Financial Services Inc. UBS Account Number Client Eligibility Certification: Initial Public Offerings of Equity Securities Account Title Ghislaine Maxwell As a distributor of initial public offerings (IPOs), UBS Financial Services Inc. (the Firm) is subject to regulatory requirements that prohibit the allocation of IPOs of equity securities to accounts owned by certain people. In order for the Firm to determine whether you and all account holders for joint and other multiple-accounts are eligible to receive allocations of IPOs…

https://www.justice.gov/epstein/files/DataSet%209/EFTA00236102.pdf

EFTA00729727Dataset 9

2008-08-1925p11,850w

SDNY CM/ECF Version 3.2.2 haps://ecf.nysd.uscourts.govicgi-bin/DktRpt.p17652068417602967-... U.S. District Court United States District Court for the Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:08-md-01963-RWS In Re: The Bear Steams Companies Inc. Securities, Derivative Date Filed: 08/19/2008 and Employee Retirement Income Security Act (ERISA) Jury Demand: None Litigation Nature of Suit: 791 Labor: E.R.I.S.A. Assigned to: Judge Robert…

https://www.justice.gov/epstein/files/DataSet%209/EFTA00729727.pdf

EFTA00236323Dataset 9

2014-07-0118p10,892w

…who are (A) related as siblings or merits and risks of an investment in the spouses (including former spouses), or (B) Fund; or (d) The Undersigned is a "broker or dealer" registered pursuant to Section 15 of direct lineal descendants by birth or (b) Each Grantor of the trust has the the Securities Exchange Act; or adoption. (i) spouses of such persons, power to revoke the trust and regain title to (iii) the estates of such persons or the trust…

https://www.justice.gov/epstein/files/DataSet%209/EFTA00236323.pdf

EFTA01273285Dataset 10

2014-07-0123p16,074w

…the spouses (including former spouses), or (B) Fund; or (d) The Undersigned is a 'broker a direct lineal descendants by birth or dealer' registered pursuant to Section 15 of adoption. (ii) spouses of such persons, (b) Each Grantor of the trust has the the Securities Exchange Act; or (ii) the estates of such persons or power to revoke the trust and regain title to (iv) foundations, charitable organizations or the trust assets, and each grantor is an (e) The Undersigned…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01273285.pdf

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Corpus: 1990-03-17 – 2025-12-01

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