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FBI VOL00009
EFTA00187050
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BEAR, STEARNS & CO. PAYROLLCHANGE , t.c.:-- PERSONNEL DEPARTMENT AUTHORIZATION FROM: Ntr.cgRIL SALES Effective Date of Change August 14,1978 Today's Date / August 21,1978 Employee Name (Last-Middle-First) EPSTE/N Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1,6 Additions To Staff 3,6 1) Quit II Resigned 1,6 00 Salary 1,2,3,6 AMOUNT S ( I Replacement 3,4,6 (1 Discharged 1.6 1) Title or Position 1.2,3.6 Repayment Schedule II Rehire 2,3,6 I/ Released 1,6 II " or Dep Br artment anch 1,2.3.6 ( I Per Pay Dsy With ()Reinstate From Leave 2,3.6 II Laid Off 1,6 Shift (Day/Night) 1.2.3.6 Balance From Any Bonus Full ()Permanent Time II Part (I Tempora II ry Time Re it to School turned " II Deceased I) Retired 126 , , 1,2,6 ( ) Total Repayment From Bonus ( I Other I 'Summer Leave of Absence (I Military File Number 0 Maternity II Exit Interview (I Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade 32E fi de Associate [ Salary $32,000/Yr 0/T Status Date of Employment 3/15/76 Starting Salary $225.00 Department or Branch N.Y.Retail Sales Dept. Code No. Date Last Increase 4/24/78 Amount Last Increase $8000/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade 36E Title Associate Salary $36,800/yr, OCT Status Name of Employee Replaced Date separated Department or Branch N.Y.Retail Sales Dept. Code No. V) "Y . Title 5 PART TIME EMPLOYMENT Salary Grade Rate Hours Needed Each Day S (Hour From AM To AM PM PM_ 6 REASON TO BE EXPLAINED IN ALL CASES Per: J.Cayne 41.. -•) fi 4 . _._.....___. ._ Employee ii .;"----. Department Head or Branch Manager Administrative Partner Director of Personnel" J.' .../ , / 12- :;-. . .....Y 7 / ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 Birth Date 392 i fi LW% Annual Salary 762 Clock Number 330 i 40 7 / 1/4 ' a. 1 354 Rev. 10/75 (8/76) PERSONNEL COPY EFTA00187050
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BEAR, STEARNS & CO. PAYROLL CHANGE AUTHORIZATION PERSONNEL DEPARTMENT /1 -r'. ,n f'; Dept. or Branch FROM: CUSTOMERS ROOM Effective Date of Change April 24,1978 Today s Date June 9,1978 Employee Name (La t•MiddleFirstl EPSTEIN Jeffrey ACCESSIONS r Complete Items — SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1,6 „ Additions " To Staff 3,6 (1 Quit 1I Resianed 1,6 (}[Salary 1,2,3,6 AMOUNT S 1i Replacement 3,4,6 I1 Discharged 1,6 11 Title or Position 1.2,3,6 Repayment Schedule 1 1 Per Pay Day With (I Rehire 2,3,6 II Released 1,6 Department ,i " or Branch 1,2,3,6 0 FRreo;nmstate ve 2,3,6 II Laid Off 1,6 Shift IDay/Night) 1.2,3.6 Balance From Any Bonus 1 1 Total Repayment From Bonus I / Other Full 0 I/ Permanent Time Part I/ Temporary 71me° 1,2,6 f) Returned " to School II Deceased I) Retired 126 , , Mummer Leave of Absence (I Military D Maternity 11 Exit Interview (1 Attached File Number 1 PRESENT STATUS I SALARY HISTORY Grade 24E Title Associate r Salary $21,OOO/Y.7. --- Cl/T Status Date of Employment 3/15/76 e Starting Salary $225.00 Departmen or Branch Customers Room Dept. Code No. I upg .ev Date Last Increase 4/25/77 Amount Last Increase $8400/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade 32E Title Associate Salary $32,000/Yx.Aaram/1" On Status Name of Employee Replaced Date Separated Oepartmen or Branch N.Y.Retail Dept. Code No., 3)f 3 3 ...t. ( 11-S, Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From AM To AM PM PM_ I 6 REASON TO BE EXPLAINED IN ALL CASES .11- \ Retro to 4/24/78 , . .... ( ' Employee Department Head or Branch Mannar Administratitw Partner Director of Personnel ..../7 .,-..2,/ ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 Birth Date 392 P .17,77 4 A Annual Salary 762 Clock Number 330 //2:0://7/41- 354 Rev. 10/75 (8/76) PERSONNEL COPY EFTA00187051
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BEAR, STEARNS & CO. PAYROLL CHANGE PERSONNEL DEPARTMENT ;/ :.6. : ;; .- AUTHORIZATION Dept. or Branch FROM: N.Y.RETAIL SALES Effective Date of Change 3/12/81 Today's Date 3/19/81 Employee Name (La t-Middle-Firstl EPSTEIN Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1,6 ,, Additions " To Stiff 3.6 ...0 Quituit EL Resioned 1,6 II Salary . 1,2,3.6 AMOUNT S I I Replacement 3,4,6 I) Discharged 1.6 (I Title or Position 1,2,3.6 Repayment Schedule I) Rehire 2,3,6 II Released 1,6 0 Department or Branch 1.2,3,6 I 1 Per Pay Day With i i Reinstate I From Leave 2,3,6 0 Laid Off 1,6 Shift (Day/Night) 1,2,3.6 Balance From Any Bonus Full I) Permanent rime(l II Temporary Part Time II 0 Returned to School II Deceased (I Retired 1,2,6 1,2,6 I I Total Repayment From Bonus I Other I ISummer Leave of Absence I) Military File Number (I Maternity (I Exit Interview I1 Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade 42E Title LtO.Part: Associate Salary $42,000/Yr. O/T Status Data of Employment 3/15/76 Starting Salary $225.00 Departmen or Branch N.Y.Ret;ail Sales Dept. Code No. Date Last Increase 4/30/79 Amount Last Increase S5200/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade Title Salary orr Status Name of Employee Replaced Date Separated Department or Branch Dept. Code No. Title 5 PART TIME EMPLOYMENT Salary Grade Rate Hours Needed Each Day S /Hour From AM To AM PM PM 6 REASON TO BE EXPLAINED IN ALL CASES Resigned Employee Department Head or Branch Manager Administrative Partner Director of Personnel ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 Birth Date 392 4 1/:?%.M Annual Salary 762 Clock Number 330 / /42/, 354 Rev. 10/75 (8/76) PERSONNEL COPY EFTA00187052
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BEAR,STENRUS&CO,INC. PAYROLL CHANGE AUTHORIZATION ,._FROM; - , • PERSONNEL DEPARTMENT Dept. or Branch FLOOR DEPT. (AMEX) Effective Date of Change Margh 15, 1976 Today's Date March 16, 1976 Employee Name (la t-Middit•Firsti EPSTEIN Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete 'terns LOAN Complete Items 1.6 0 liodd ttaiounsx 3,6 I) Quit (I Resioned 1,6 () Salary 1,2,3,6 AMOUNT S (I Replacement 3,4,6 II Discharged 1,6 0 Title or Position 1,2,3,8 Repayment Schedule I ) Per Pay Day With II Rehire 2,3,6 I) Released 1,6 -..i D i i or Branch epartment 1,2,3,6 II Reinstate " From Leave 2,3,6 (I Laid Off 1,6 Shift (13aNNIght) 1.2,3,8 • Silence From Any Bonus I I Total Repayment From Bonus I ) Other Full (I Permanent Time (I Part I) Temporary II Time Returned II to School I) Deceased Il Retired 1,2,8 1,2,6 °Summer Leave II Military of Absence Interview Fite Number ?,' \ A 11 Meternity I) Exit I) Attached r 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Salary Oft Status Date of Employment Starting Salary Department or Branch 1 Dept. Code No. Date Last Increase Amount Last (wawa 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade Title Trainee Salary $225.00 0/T Status Name of Employee Replaced Date Separated Depattmen or Stench Floor Dept. - Dept. Code Alig,. I7 0 Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From AM To Plil AM Pm 6 REASON TO BE EXPLAINED IN ALL CASES L 5 Employee Department Head or Branch Manager Administrative Partner Director of Peraonnel 4 //k . ADP CODES CATEGORY 0 1 2 3 4 5 8 7 8 -.. 9 ...1 1 f (fictive One 401 L"". a)or Medical 402 t..." ue Cross 403 t../ rpe Employee 404 rth Date 392 f17/a( 0 / , .;l O ..ire a mos' Salary 762 / / 7 0 0 0 0 ,ce Number 330 Yg& 2,77./,- V. 4? v a it a rm 354 Rev. 10/76 PERSONNEL COPY EFTA00187053
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BEAR, STEARNS & CO., PAYROLLCHANGE AUTHORIZATION 4. PERSONNEL DEPARTMENT Dept. or Branch TO PROW FLOOR DEPT. (AMEX) Effective Date of Change2": 8/16/76 Today's Date August 19, 1976 Employee Name ILast•Middle-First I N.Y.OPT EPSTEIN Jeffrey ON3 ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1'6 I i TAcdttaionns 3,6 II Quit 0 Resiened 1.6 t.t Sala ry 1,2,3,6 AMOUNT S ()Replacement 3,4,6 II Discharged 1,6 R Title or Position I.2,3,6 Repayment Schedule I I Per Pay Day With Rehire 2,3,6 II Released 1,6 rt II IX oprepBar L ir hen t 1,2,3,6 IIMMTeeave 2,3,6 II Laid Off 1,6 Shift IDay/Night/ 1.2.3,6 Balance From Any Bonus I I Total Repayment From Bonus I Other II Permanent Time FuIl ii 11 Temporary Part Time II " Returned to School I II Deceased II Retired 1.2.6 1,2,6 I 'Summer Leave I/ Military of Absence Interview File Number II Maternity II Exit II Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Trainee Salary 0/7 Status $225.00 Date of Employment . 3/15/76 Starting Salary $225.00 Department or Branch Floor Dept. Dept. Code No.i/ K r ° Date Last Increase Amount Last Increase 3 NEW EMPLOYEE AND STATUS CHANGE FOR REPLACEMENT ONLY Grade Title Associate Salary $300.00/Wk. OTT Status Off Name of Employee Replaced Date Separated Oepartmen or Branch N.Y.Options Dept. Code Nose?. Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From PMTo AM PM 6 REASON TO BE EXPLAINED IN ALL CASES Transferred wlincrease OFF THE CLOCK Per: M.Tennenbaum Employee Department Head or Branch Manager Administrative Partner Director of Personnel') . / if • ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 ( Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 Birth Date 392 'S M.,/ 4 Annual Salary 762 Clock Number 330 7,7,..//,/ 74, a , Form 354 Rev. 10/75 PERSONNEL COPY EFTA00187054
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BEAR, STEARNS & CO. PAYROLL CHANGE AUTHORIZATION ........r, ci t. . ' . 1 PERSONNEL DEPARTMENT FROM: NEWN VAAVETAIL E8e velgtle Sri 1979 Today's Date OCTOBER 30, 1979 Employee Name (last-Middle-First) EPSTEIN, Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1.6 , I Additions " To Staff 36, li Quit II Pinioned 1,6 II Salary 1,2,3,6 AMOUNTS 20,000.00 (I Replacement 3,4,6 (I Discharged 1,6 (I Title or Position 1,2,3,6 Repayment Schedule I I Per Pay Day With (I Rehire 2,3,6 II Released 1,6 Ii Department " or Branch 1.2,3.6 liFtMi laeave F ' 2.3,6 I) Laid Off 1,6 Shift (Day/Night) 1,2,3.6 Balance From Any Bonus IC Total Repayment From Bonus May 80 1 1 Other Full [I Permanent il Time II Temporary Part " Time " "Returned to School 0 Deceased (I Retired 1,2,6 1,2,6 ()Summar Leave of Absence (1 Military (1 Maternity () Exit Interview (I Attached File Number 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Salary S42 ,000/Yr. OFT Status Date of Employment 3/15/76 Starting Salary Department or Branch Dept. Code No. Date Last Increase Amount Last Increase 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade Title Salary OtT Status Name of Employee Replaced Date Separated Department or Branch Dept. Code No. Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From T AM PM o AM PM 6 REASON TO BE EXPLAINED IN ALL CASES Employ fertile Administrat Department Reid or Ba.,b.Manager Director of Per ADP CODES CATEGORY 0 1 2 3 4 6 6 7 8 9 Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 lirth Date 392 "A V0., f,. / Z annual Salary 762 Sock Number 330 07 7 4, (77, 7 — - - ev. (8/76 PERSONNEL COPY EFTA00187055
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Employee BEAR, STEARNS & CO., PAYROLL CHANGE AUTHORIZATION PERSONNEL DEPARTMENT sit ii.. L ;C. Dept. or Branch FROM: N.Y. OPTIONS Effective Date of Change APRIL 25, 1977 Today's Date JUNE 2, 1977 Employee Name (La t•Middle-Firsil EPSTEIN Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1.6 „ Additions " To Staff 3,6 0, Quit Li Resioned 1,6 P CSalary 1,2,3,6 AMOUNT S ()Replacement 3,4,6 II Discharged 1,6 il Title or Position 1,2,3,6 Repayment Schedule I ) Per Pay Day With II Rehire 2,3,6 II Released 1,6 0 Department or Branch 1,2,3,6 I1 Reinstate From Leave 2,3,6 Il Laid OH 1,6 Shift (Day/Night) 1,2,3,6 Balance From Any Bonus i 1 Total Repayment From Bonus I I Other Full ,) ()Permanent Time 4 Part 11 Temporary Il Time „ Returned " to School II Deceased 0 Retired 1,2,6 1,2,6 1 ()Summer Leave (I Military of Absence Interview File Number Il Maternity 17 Exit (I Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Salary i Orr Status $3OO.OO Off Date of Employment 3/15/76 Starting Salary $225.00 Departmen or Branch N.Y. Options Dept. Code No. 6. ea •O-4, Date Last Increase 8/16/76 Amount Last Increase $75.00 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade 24E Title Associate Salary $24,000/Yr WT Status Name of Employee Replaced A Date Separated Departmen or Branch NY Options Dept. Code No. i t, )--- Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From PM AM To AM PM 6 REASON TO BE EXPLAINED IN ALL CASES Per: L.Rabinowitz b-c) '7. RETRO TO APRIL 25, 1977 C) 44.--&1;‘) 6 96 Yal Department Head or Branch Manager Administrative Partner Director of Personnel 7 AOP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Ylejor Medical 402 Slue Cross 403 Elio. Employee 404 firth Date 392 ri<747a knnual Salary 762 lock Number 330 W./AY:// Zi 9/) orm 354 (4/76) PERSONNEL COPY EFTA00187056
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Ulf I BEAR, STEARNS & CO. PAYROLL CHANGE AUTHORIZATION 04(It S ' ' • O,41; . S'S • . . . Si 0 I PERSONNEL DEPARTMENT ' Dept. or Branch 'EU FROM: N t nnerTnms CUSTOMERS R0044 Effective Date of Change June 27, 1977 • Today's Date June 24, 1977 Employee Name (La t-MiddlrFirst) EPSTEIN Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1,6 ii Additions To Staff 3.6 (1 Quit 11 Resigned 1.6 1) Salary 1,2,3,6 AMOUNT S (I Replacement 3.4,6 (I Discharged 1,6 (1 Title or Position 1,2.3,6 Repayment Schedule 11 Per Pay Day With ()Rehire 2,3,6 a Released 1.6 id ,C))regiartne mirt 1.2.3,6 11 Reinstate from Leave 2,3,6 D Laid Off 1,6 Shift IDay/Night) 1,2.3,6 Balance From Any Bonus 1 1 Total Repayment From Bonus 11 Other Full 11Permanent Time (1 Pa II Temporary Tlmrte II Returned 0 to School (I ased Dec (1 Retired 1,2,6 1,2,6 — 11Summer Leave of Absence 11 Military 11 Maternity Il Exit Interview (1 Attached Fite Number Af- -16 7 (P L 1 PRESENT STATUS 2 SALARY HISTORY Grade 24E Title Associate Salary 8 24, 00/Yr. OTT Status Date of Employment 3/15/76 Starting Salary $225.00 Department or Branch NY Options Dept. Code Ng, 8 1417 Date Last Increase 4/25/77 Amount Last Increase $R, 400/Yr. ,3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade 24E Title Associate Salary $24,000/Yr 0/T Status Name of Employee Replaced Date Separated DEiartrnen or Branch Customers Room Depy-Code NO. 2)•. Oi , Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From AM PM To AM PM 6 REASON TO RE EXPLAINED IN ALL CARES v..) 11 0 10' , cy_711, Transferred Per: L. Rabinowitz rnployee Department Head or Branch Manager tdministrative Par Director of Pessary ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 teethe Date 401 sior Medical 402 ue Cross 403 ipe Employee 404 .th Date 392 '/ t A S. ra inual Salary 762 sck Number 330 17/ 7///47/477/ I 54 Rev. 10/75 (8/76) PERSONNEL COPY EFTA00187057
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BEAR,STEARN5B(CO. PAYROLL CHANGE AUTHORIZATION PERSONNEL DEPARTMENT ‘, Dept. or Branch FROM: N.Y.RETAIL SALES Effective Date of Change April 30.1979 Today's Date June 20,1979 Employee Name (Last-Middle-First) EPSTEIN Jeffre ACCESSIONS' Complete Items SEPARATIONS Complete Items CHANGES ComPiste Items LOAN Complete Items 1,6 ' i co Staff Additions 3.6 II Quit II Rationed 1,6 $1 Salary 1,2,3,6 AMOUNT S (J Replacement 3.4,6 II Discharged 1.6 II Title or Position 1.2,3.6 Repayment Schedule I I Per Pay Day With II Rehire 2.3.6 II Released 1,6 (I " or Branch 1,2.3.6 II Reinstate Prom leave 2.3.6 II Laid Off 1.6 Shift IDay/Nightl 1.2.3,6 Balance From Any Bonus I1 Total Repayment From Bonus 1 1 Other Full II Permanent Time II Part II Temporary Time II (I Returned to School II Deceased II Retired 1 ,2,6 1,2,6 I Isummer Leave of Absence 0 Military I/ Maternity (I Exit Interview II Attached File Number 1 PRESENT STATUS 2 SALARY HISTORY Grade 36E Title Associate Salary $ 36,800/Yr . OTT Status H. 0..-.43. a H. Date of Employment 3/15/76 Starting Salary $225.00 Department or Branch Dept. Code No. N.Y.Retail Sales Date Last Increase 8/14/78 Amount Last Increase $4800/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade 42E Title Associate Silia:12 $ ,000/Yr. 0/7 Status Name of Employee Replaced Date Separated Department or Branch N.Y.Retail Sales Dept. Code No. of/ Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From AM AM To PM PM 6 REASON TO BE EXPLAINED IN ALL CASES •(.1 Retro to 4/30/79 Per: J.Cayne . . t' 6- ft. c, ifl. '1 r Adfc-1- I INA./ r; Ise - O. O ;.? 1 - - Employee Department Head or Branch Manager Administrative Partner Orof PM 8-7 ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Maiur Medical 402 Blue Cross 403 Type Employee 404 Birth Date 392 7,://et 74 72 Annual Salary 762 • Dock Number 330 0/7,1/4 7 / Y4 354 Rev. 10/75 (8/76) PERSONNEL COPY EFTA00187058
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Jeffrey E. Epstein • I Bear, Stearns & Co. 55 Water Street New York 10041 March 12, 1981 70 7HE EXECUTIVE COtWaliks.: With this letter and accompanying statement, I hereby resign as a Limited Partner of Bear, Stearns & Co., effective irtmediately. 1 Sincerely, / P 'Sar ey E& Epstein EFTA00187059
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Bear, Stearns & Co. 55 Water Street New lila. 10041 WRITER'S DIRECT DIAL NUMBER Dear Jeffrey: BEAR STEARNS March 12, 1981 The Executive Committee has fully reviewed the matter referred to herein and after extensive deliberation has decided the following: 1. You have advised us that you made a loan to a customer for the purpose of his buying securities. This constitutes a violation of Regulation T. Taking into consideration your voluntary disclosure and the fact that it was a single in- stance, we find you $2,500.00. 2. For failing to comply with the spirit of the NASD Regulations with respect to new issue distribution, we suspend you from active employment at Bear Stearns for a period of 60 days, effective immediately. Yours very truly, EXECUTIVE COMMITTEE BEAR, STEARNS & CO. New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Franricen EFTA00187060
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Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 WRITER'S DIRECT DIAL NUMBER TO ALL NEW EMPLOYEES: BEAR STMRNS Apri l 8, 1971 Under publ ic law #91-508, "Fair Credit Reporting Act", we are now required to inform you at the time of your hiring that we intend to conduct, through a service agency and through our own inquiries, an investigation as to your character, reputation, mode of living, educational experience, litigations, previous employments, and any publ ic records etc... Upon written request, you, as an employee, now have the right to know the name of the investigative service employed by Bear, Stearns & Co. and the scope of their report should one be used in your particular case. Signature Date New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterdam/Geneva/Pans EFTA00187061
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STOCK EXCHANGE FIRM EMPLOYEE INFORMATION RECORD ITo be completed upon acceptance of employment) Please answer all questions listed below as completely and accurately as possible. Information disclosed on this form will be held in strictest confidence and will be preserved for three years after termination of employment in accordance with Rules 17a-3 and 17a-4 of the Securities and Exchange Commission and Rule 345.19 of the New York Stock Exchange. 1. 15-vre1/2 St Name 4st Name Middle Name . 2. (a) Have you ever been bonded? Yes (b) Have you ever been refused a bond by a surety company? Yes (c) Has such a bond ever been denied or revoked? Yes (d) Has any surety company paid out any funds on your coverage? Yes If answer to either (b), (c) or (d) is 'yes,' attach details including name of surety company. 3. Have you ever been a member of any stock exchange, commodity exchange, or registered association of security or commodity brokers, dealers, investment bankers or investment advisors? If 'yes,' give name (s) and dates. 4. (a) Have you ever been suspended, expelled or otherwise disciplined by any regulatory body or by any such exchange or association; or ever been denied membership therein; or ever withdrawn your application for such membership? Yes (b) Have you ever been associated with any organization, as a director, controlling stockholder, partner, officer, employee or other representative of a broker-dealer which has been, or a principal of which has been, suspended or expelled from any such exchange or registered association, or was denied membership therein, or withdrew an application for membership; or whose registration as a broker-dealer with the S E C or any State or agency has been denied, suspended or revoked? Yes (c) Has any permanent or temporary injunction ever been entered against you? (d) Has any corporation, firm, or association, with which you were associated, been enjoined during the period of your association? Yes (e) If answer to question 4 (a), (b), (c) or (d) is 'yes,' attach details including any finding that you were a cause of any disciplinary action or had violated any law. 5. In your previous business connections or employment in any capacity, have transactions under your attention ever been the subject of complaint or legal proceedings? Yes If 'yes,' give names and details. 6. Have you ever been arrested, summoned, arraigned, indicted or convicted of a felony of any kind, or of a misdemeanor except minor traffic offenses? If 'yes,' attach details. 7. Have you ever been known personally by any other name, used an alias, or have you ever conducted business or carried brokerage or bank accounts in any other name than that shown above? If 'yes,' give details and dates of use. Yes No M No! Yes No I hereby certify that I have read and understand the foregoing statements and that each of my responses thereto is true and complete. I authorize my prior employers to make available to any prospective employer, or to any Federal, State or Municipal agency, any information it may have concerning me, and I hereby release my employers frHn any and all liability of whatsoever nature by reason of furnishing such information. (Date) A.14/. Ci yrr Signatur of Employee 110 (12/75) EFTA00187062
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EMPLOYEE SECURITIES TRANSACTIONS It is the policy of this firm, in compliance with the New York Stock Exchange and Federal Regulations, that no employee may maintain an account with another firm, effect securities transactions through a bank or obtain a loan from a bank collateralized by securities without the permission of the firm. Such permission should be requested in writing directed to the Compliance Department. This restriction applies to the employee, his spouse and minor children and any account in which the employee places orders. PLEASE ATTEST TO THE FOLLOWING; "I have no brokerage accounts other than at Bear, Stearns & Co. and I have no bank loans collateralized by securities except: (if none, state NONE, indicate accounts of your spouse, minor children and any account in which you place orders)." frj b /v(, alex (N- 1,1; (DATE) EFTA00187063
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EXECUTIVE HEALTH EXAMINERS 777 THIRD *PESKIN • NNW YORK CIIT UM 2.¢i-ff. 1i7 i9 7/ Name MAHU - 975-27 Company We have examined above-named applicant for employment. We find him ( er ( ): Wriuitable for employment. ( ) Suitable for limited employment. Limitations: Remarks: , R N. EFTA00187064
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Memo BEAR STEARNS To John Duggan awe June 3, 1377 From Lewis Rabinowitz subject Jeff Epstein Please r se Jeff Epstein CC annual salary to $24,000 per year. \'‘) EFTA00187065
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Memo BEAR ST EARNS To efi‘ve Lakoff Seymour Dashow From Elliot K. !Volk Subject Dale August 4, 1977 CC ease chari 11 expenses including salary for ff Epstein to New York Retail and delete from Opt ent. This should have been done some time ago. Please make sure this is done retroactively to May 1, 197.7 • and is included in the July figures. =.• EFTA00187066
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Memo BEAR STEARNS Steve 1am66 From lamed E. Coyne Subject 3 (1/77) Date CC lune 13, 1919 E66ective today, and Aetaoactive to May Z./Lease the zataity ocle!tey Epst_e_t)to $4,000./yeaa EFTA00187067
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Sear, Stearns & Co. 55 Wafer Street 10041 WRITER'S DIRECT DIAL NUMBER BEAR STEARNS March 18, 1976 Nier Roofing 4050 Atlantic Avenue, Brookl n t JEFFREY E. EPSTEIN (Applicant's Name) ity No.) has applied to us for employment. As a previous employer, we would appreciate your comments. We have obtained a signed authorization and indemnification agreement from the applicant to conduct reference checks, a copy of which is enclosed. Should you prefer to respond by telephone, please call our reference section at Dates of Employment: Claimed from 1971 to 1973 Verified from // / to Above Aver ge Average Below Average Attendance C C] --- Punctuality La 0 0 Work Performance LY 7 ED ED ED C:1 Overall Rating To the best of yo knowledge, did this applicant have a Securities brokerage rcount? 0 Yes No Would you Recommend the applicant for a position of trust involving negotiable securities? ff7 Yes 0 No If your present policy permitted, would you rehire this applicant? s LJ No Is there anything we should know about this applicant which would help make our relationship a successful one? 6- 4 (--OZZA*1 ,41.461se / GENERAL REMARKS: Name: /• ae2-2, Signature: Form 267 (10/75) Title: / • Date: 1/4 c/ 7 7 New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterdam/Genova/en:. EFTA00187068
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FIDELIFACTS This will supplement our report of 5/3/76. EMPLOYMENT DALTON SCHOOL 108 E. 89TH STREET NEW YORK CITY, N.Y. Applicant: 9/74 to 3/15/76 Reported: 9/74 to 6/11/76 MS. BLACKBURN, Administrative Assistant, furnished the following information from records and personal knowledge: The applicant holds SSW lived at: 3814 Seagate Avenue, Brooklyn, (confirmed). He said he was a college graduate, but no furhter details were indicated. He was employed as a Physics and Math teacher. He did a good Job; had a good attendance and punctuality record and was dependable, cooperative and honest. He has leadership and supervisory ability. He was supervised by Dick Grossman who was not in the school at this time. The applicant was laid off due to a personnel cutback, but is eligible for rehire. The above lead was completed prior to client's cancellation of this case. ma The information contained in this report is for the SOLE AND CONFInFNTIA I - EFTA00187069
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