Epstein Secrets

0127 EFTA_00 I 6787 I EFTA01295968 Page 68 D&B: Not Required LEGAL RESULTS: Court Cases: Copyright 2016 Info4c, All Rights Reserved info4c Watchlists and Blacklists October 7, 2016 Richard Kahn SOURCE: AUTHORITY: New York Stock Exchange LIST NAME: NYSE Arca Enforcement COUNTRY: United States

ember 8, 2016 PERSONAL INFORMATION Decision number: 12-ARCA-3 ID DIESES DATENSATZES: 20200292674 OTHER INFORMATION CASE: Name on the list of Arca Disciplinary Actions (Position: ETP Holder Limited Partner) For internal use only SDNY_GM_00057304 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020128

ly For internal use only SDNY_GM_00061625 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024450 EFTA 00172137 EFTA01297913 Page 2 Watchlists and Blacklists August 9, 2018 info4c Watchlists and Blacklists August 9, 2018 Richard Kahn SOURCE: COUNTRY: United States of America LIST NAME

ENTITY TYPE: I DATE OF PUBLICATION: April 20, 2012 LIST NAME: NYSE Arca Enforcement DATE OF INFORMATION: May 23, 2018 CASE: Name on the list of Arca Disciplinary Actions; Decision number: 12-ARCA-3 (Position: ETP Holder Limited Partner) COUNTRY: United States of America LOAD-DATE: August 10, 2018 RICHARD KAHN, Pla

Page 2 Worldbase, 11/30/2013, THE RELATED COMPANIES LP LEGAL RESULTS: Court Cases: Copyright 2017 Info4C, All Rights Reserved info4c Watchlists and Blacklists June 9, 2017 Richard Kahn SOURCE: COUNTRY: United States of America LIST NAME: NYSE Arca Enforcement AUTHORITY: New York Stock E

TITY TYPE: I DATE OF PUBLICATION: April 20, 2012 LIST NAME: NYSE Arca Enforcement DATE OF INFORMATION: January 23, 2017 CASE: Name on the list of Arca Disciplinary Actions (Position: ETP Holder Limited Partner) COUNTRY: United States of America For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)

Page 2 Worldbase, 11/30/2013, THE RELATED COMPANIES LP LEGAL RESULTS: Court Cases: Copyright 2017 Info4C, All Rights Reserved info4c Watchlists and Blacklists June 9, 2017 Richard Kahn SOURCE: COUNTRY: United States of America LIST NAME: NYSE Arca Enforcement AUTHORITY: New York Stock E

TITY TYPE: I DATE OF PUBLICATION: April 20, 2012 LIST NAME: NYSE Arca Enforcement DATE OF INFORMATION: January 23, 2017 CASE: Name on the list of Arca Disciplinary Actions (Position: ETP Holder Limited Partner) COUNTRY: United States of America For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)

Page 68 D&B: Not Required LEGAL RESULTS: Court Cases: Copyright 2016 Info4c, All Rights Reserved info4c Watchlists and Blacklists October 7, 2016 Richard Kahn SOURCE: AUTHORITY: New York Stock Exchange LIST NAME: NYSE Arca Enforcement COUNTRY: United States

AL INFORMATION * * ***** * * ** * * * Decision number: 12-ARCA-3 ID DIESES DATENSATZES: 20200292674 OTHER INFORMATION CASE: Name on the list of Arca Disciplinary Actions (Position: ETP Holder Limited Partner) For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053241 CONFIDENTIAL SDNY