Epstein Secrets

. Negative Media There was no information found W. Non-Negative Media There was no information foun

h testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION Busch, Judith Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment For internal use only SDNY_GM_00060395 CONFIDENTIAL - PURSUAN

12 Atlee, Virginia Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 R

O O O 2 I I LI lDandyke rren K. O O O O W..1 O O Trustee:Trustee;Au th Signor as Trust

rt has been cleared by AML Compliance. Clearance attached. Richard Kahn: - No negative media - Court case was dismissed and he was not barred from NYSE Arca and was cleared In the previous KYCs. Attached clearances • RDC alert found • realates to violation of NYSE Arca Equities Rule - Clearance attached.

Group, LLC -- Money Market Ace. Number (ff aiano.W. Account Manager. Paul Mortis What is the pirpo

s HBRK ASSOCIATES INC: No negative media No court cases RICHARD KAHN: Approved KYC 001082293 AML Clearance attached to bus KYC Not barred from NYSE Arca and he was cleared mace as seen in the attachments HARRY BELLER: Negative Media: Not cur client. Al negative mesa pertains to an environmental rmac

art, as its editor-In-chief, retained Presently, W. Epstein founded Southern Trust Company Inc, a pri

ert has been cleated by AML Compliance. Clearance attached. Richard Kiln: - No negative meda - Court case was dismissed and he was not barred from NYSE Arca and was dears in the previous KYC5. Attached clearances - RDC alert found - realates to violation of NYSE Arca Egalks Rule - Clearance attached. •.