Epstein Secrets

ABS Funds while there was an opportunity to do so. Arbitration Provision 12. Pursuant to the Customer Agreements between Bear Stearns and FTC and Bear Stearns and COUQ, "... controversies arising between [Claimants] and your introducing broker and/or Bear Stearns, and any of your or their control persons,

Inc. ("FTC") and The C.O.U.Q. Foundation, Inc. ("COUQ") (collectively, "Claimants"), submit the following amended statement of their claims against The Bear Steams Companies, Bear Stearns & Co., Bear Steams Asset Management ("BSAM"), and Warren Spector ("Spector") (collectively "Bear Steams"). These claims arise out of

es included providing investment advice to certain valuable Bear Stearns clients. One of those clients was Jeffrey Epstein. Mr. Epstein was a former Bear Steams partner and subsequently became a successful investor who invested substantial sums based on advice given by Bear Steams. Mr. Spector was responsibl

and statements in this affidavit. Each of the facts and statements is true and correct. 2. From 1993 to 2008, I was the Chief Executive Officer of The Bear Steams Companies. I also was Chairman of the Board from 2001 to 2008. 3. Warren Spector was Co-President and Co-Chief Operating Officers of The Bear Steams Compan

its, his investments with Bear Steams were also guided by the "assurances, advice and representations" of 'other executives at the highest levels of Bear Stearns' management" Am. St. Claim 11 19 (emphasis added). -5- EFTA00314494 on big-picture issues of strategy and growth. The day-to-day management and ove

E RESOLUTION, INC. X Financial Trust Company, Inc. and The C.O.U.Q. Foundation, Inc., Claimants, : FINRA No. 09-979 v. : AMENDED STATEMENT OF The Bear Steams Companies, Bear Stearns & Co., : ANSWER Bear Steams Asset Management, and Warren Spector, : Respondents. X Pursuant to Rule 12303 of the Code of Arbitrati